SEC Form 4/A · accession 0001164691-15-000103
RLJ ENTERTAINMENT, INC. · RLJE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Table I — non-derivative securities
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B-1 Convertible Preferred Stock | $1.00 | May 20, 2015 | A | 5,618,282 | A | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 per share | 5,618,282 | 5,618 | I |
| Warrants | $1.50 | May 20, 2015 | A | 1,685,485 | A | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 per share | 1,685,485 | 1,685,485 | I |
| Series B-1 Convertible Preferred Stock | $1.00 | May 20, 2015 | A | 759,854 | A | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 per share | 759,854 | 760 | I |
| Warrants | $1.50 | May 20, 2015 | A | 227,956 | A | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 | 227,956 | 227,956 | I |
| Series B-1 Convertible Preferred Stock | $1.00 | May 20, 2015 | A | 349,175 | A | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 per share | 349,175 | 349 | I |
| Warrants | $1.50 | May 20, 2015 | A | 104,753 | A | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 per share | 104,753 | 104,753 | I |
| Series B-1 Convertible Preferred Stock | $1.00 | May 20, 2015 | A | 752,121 | A | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 per share | 752,121 | 752 | I |
| Warrants | $1.50 | May 20, 2015 | A | 225,636 | A | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 | 225,636 | 225,636 | I |
Remarks
The entities noted in Table II, Item 11 (the JH Entities) have received the preferred shares, as detailed in this Form 4, pursuant to an exchange of subordinated debt for such preferred shares which will be converted common stock and warrants. The reporting person is the sole general partner of the entity noted in Table II, Item 11. The reporting person disclaims beneficial ownership of the shares reported except to the extent of its pecuniary interest therein. The reporting person is the investment manager of the entity noted in Table II, Item 11. The reporting person disclaims beneficial ownership of the shares reported except to the extent of its pecuniary interest therein.