SEC Form 4/A · accession 0001209191-17-043476
RLJ ENTERTAINMENT, INC. · RLJE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Miguel Penella
Officer — CEO · Director
Period of report
Mar 13, 2017
Accepted (ET)
Jul 5, 2017 · 5:55 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2,F1,F3 | $2.661 | Jun 16, 2017 | A | 700,000 | A | Mar 13, 2019 | Mar 13, 2027 | Common Stock, par value $0.001 per share | 700,000 | 700,000 | D |
| Stock OptionsF2,F3 | $3.00 | Jun 16, 2017 | A | 700,000 | A | Mar 13, 2021 | Mar 13, 2027 | Common Stock, par value $0.001 per share | 700,000 | 700,000 | D |
Explanation of responses
- F1This amendment is being filed to reflect the amended exercise price.
- F2This amendment is being filed to reflect the amended grant date.
- F3All stock options directly settle in shares, based on the spread of the stock price over the exercise price. Vesting of options is contingent upon stockholder approval of addition of sufficient shares to the 2012 Incentive Compensation Plan. If RLJE stock is retired before 2020, unvested options convert into cash or buyer shares and pay out or vest at the end of their normal vesting period.