SEC Form 3 · accession 0001554334-15-000003
Sudbury Capital Fund, LP · RLJE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sudbury Capital Fund, LP
10% Owner
Period of report
May 20, 2015
Accepted (ET)
May 27, 2015 · 1:43 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001554334
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 share | holding | — | — | — | 290,143 | D | ||
| Common Stock, par value $0.001 per shareF1 | holding | — | — | — | 15,136 | I | By Dayton Judd |
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 Stock | $1.00 | holding | — | — | — | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 per share | 2,000,000 | — | D |
| Warrants | $12.00 | holding | — | — | — | Nov 3, 2012 | Oct 3, 2017 | Warrants | 381,292 | — | D |
| Warrants | $1.50 | holding | — | — | — | May 20, 2015 | May 20, 2020 | Common Stock, par value $0.001 per share | 600,000 | — | D |
Explanation of responses
- F1On May 20, 2015, Dayton Judd was granted 15,136 shares of restricted common stock, par value $0.001 per share, of the Company in connection with his service as a director of the Company. All 15,136 shares will vest upon the earlier of the 2015 Meeting of Shareholders or May 20, 2016 (the "Vesting Date"), provided that the Reporting Person's service as a director of the Company continues through the Vesting Date.