SEC Form 4 · accession 0001209191-17-041085
RLJ ENTERTAINMENT, INC. · RLJE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
RLJ SPAC Acquisition, LLC
10% Owner
Period of report
Jun 20, 2017
Accepted (ET)
Jun 20, 2017 · 4:21 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001546381
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001 per shareF1 | Jun 20, 2017 | C | 5,905,634 | $3.00 | A | 6,794,465 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series D-2 Convertible Preferred Stock | $3.00 | Jun 20, 2017 | C | 15,000 | D | Oct 14, 2016 | May 20, 2020 | Common Stock, par value $0.001 per share | 5,905,634 | 0 | D |
Explanation of responses
- F1The reporting person converted 15,000 shares of Series D-2 Convertible Preferred Stock, including accrued dividends on June 20, 2017, at a conversion price of $3.00 per share, resulting in his acquisition of 5,905,634 shares of common stock. The Series D-2 Convertible Preferred Stock had a face value of $1,000, plus accrued dividends.