SEC Form 4 · accession 0001209191-16-146238
RLJ ENTERTAINMENT, INC. · RLJE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sudbury Capital Fund, LP
10% Owner
Period of report
Oct 14, 2016
Accepted (ET)
Oct 18, 2016 · 6:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001546381
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A-2 Convertible Preferred StockF1 | $3.00 | Oct 14, 2016 | D | 2,000 | D | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 per share | 666,667 | 0 | D |
| Series C-2 Convertible Preferred StockF1 | $3.00 | Oct 14, 2016 | A | 2,000 | A | Oct 14, 2016 | May 20, 2020 | Common Stock, par value $0.001 per share | 666,667 | 2,000 | D |
| Series B-1 Convertible Preferred StockF1 | $3.00 | Oct 14, 2016 | D | 184 | D | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 per share | 61,169 | 0 | D |
| Series D-1 Convertible Preferred StockF1 | $3.00 | Oct 14, 2016 | A | 184 | A | Oct 14, 2016 | May 20, 2020 | Common Stock, par value $0.001 per share | 61,169 | 184 | D |
| WarrantsF2 | $1.50 | Oct 14, 2016 | D | 600,000 | D | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 per share | 200,000 | 0 | D |
| WarrantsF2 | $0.50 | Oct 14, 2016 | A | 600,000 | A | Oct 14, 2016 | May 20, 2020 | Common Stock, par value $0.001 per share | 200,000 | 600,000 | D |
Explanation of responses
- F1Dividends may be accrued and added to the liquidation value of the preferred stock, which may be converted into additional shares of common stock at the conversion price.
- F2Following the reverse stock split on June 24, 2016, each warrant represents the right to purchase one-third of a share of common stock.