SEC Form 4 · accession 0001012975-15-000729
Jason Industries, Inc. · JASN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alex Mitchell
10% Owner
Period of report
Oct 28, 2015
Accepted (ET)
Oct 30, 2015 · 5:49 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001579252
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F3 | Oct 28, 2015 | S | 2,150 | $4.40 | D | 117,271 | I | See Footnote |
| Common StockF1,F4 | Oct 28, 2015 | S | 16,579 | $4.40 | D | 520,774 | I | See Footnote |
| Common StockF1,F5 | Oct 28, 2015 | S | 3 | $4.44 | D | 87,837 | I | See Footnote |
| Common StockF1,F6 | Oct 28, 2015 | S | 7,365 | $4.40 | D | 448,555 | I | See Footnote |
| Common StockF1,F7 | Oct 28, 2015 | S | 3 | $4.44 | D | 26,263 | I | See Footnote |
| Common StockF3 | Oct 29, 2015 | S | 15 | $4.40 | D | 117,256 | I | See Footnote |
| Common StockF4 | Oct 29, 2015 | S | 127 | $4.40 | D | 520,647 | I | See Footnote |
| Common StockF5 | Oct 29, 2015 | S | 1 | $4.40 | D | 87,836 | I | See Footnote |
| Common StockF6 | Oct 29, 2015 | S | 56 | $4.40 | D | 448,499 | I | See Footnote |
| Common StockF7 | Oct 29, 2015 | S | 1 | $4.40 | D | 26,262 | I | See Footnote |
| Common StockF2,F3 | Oct 30, 2015 | S | 21 | $3.79 | D | 117,235 | I | See Footnote |
| Common StockF2,F4 | Oct 30, 2015 | S | 191 | $3.77 | D | 520,456 | I | See Footnote |
| Common StockF2,F5 | Oct 30, 2015 | S | 2 | $3.70 | D | 87,834 | I | See Footnote |
| Common StockF2,F6 | Oct 30, 2015 | S | 84 | $3.77 | D | 448,415 | I | See Footnote |
| Common StockF2,F7 | Oct 30, 2015 | S | 2 | $3.70 | D | 26,260 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF8,F3 | $12.00 | Oct 30, 2015 | S | 1,598 | D | Aug 14, 2014 | Jun 30, 2019 | Common Stock | 1,598 | 157,707 | I |
| WarrantsF8,F4 | $12.00 | Oct 30, 2015 | S | 14,514 | D | Aug 14, 2014 | Jun 30, 2019 | Common Stock | 14,514 | 705,811 | I |
| WarrantsF8,F5 | $12.00 | Oct 30, 2015 | S | 3 | D | Aug 14, 2014 | Jun 30, 2019 | Common Stock | 3 | 161,461 | I |
| WarrantsF8,F6 | $12.00 | Oct 30, 2015 | S | 5,583 | D | Aug 14, 2014 | Jun 30, 2019 | Common Stock | 5,583 | 606,858 | I |
| WarrantsF8,F7 | $12.00 | Oct 30, 2015 | S | 3 | D | Aug 14, 2014 | Jun 30, 2019 | Common Stock | 3 | 42,364 | I |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $4.40 to $4.50, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F2The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $3.50 to $3.90, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F3The securities are held by Scopus Partners, L.P. ("SPLP"). The reporting person owns 100% of the equity interests of the general partner of SPLP. The reporting person disclaims pecuniary interest in the reported securities except to the extent of his economic interest.
- F4The securities are held by Scopus Partners II, L.P. ("SPIILP"). The reporting person owns 100% of the equity interests of the general partner of SPIILP. The reporting person disclaims pecuniary interest in the reported securities except to the extent of his economic interest.
- F5The securities are held by Scopus Vista Partners, L.P. ("SVPLP"). The reporting person owns 100% of the equity interests of the general partner of SVPLP. The reporting person disclaims pecuniary interest in the reported securities except to the extent of his economic interest.
- F6The securities are held by Scopus Fund Ltd. ("SFL"). The reporting person owns an equity interest in SFL and indirectly controls SFL. The reporting person disclaims pecuniary interest in the reported securities except to the extent of his economic interest.
- F7The securities are held by Scopus Vista Fund Ltd. ("SVFL"). The reporting person owns an equity interest in SVFL and indirectly controls SVFL. The reporting person disclaims pecuniary interest in the reported securities except to the extent of his economic interest.
- F8The price reported in Column 8 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $0.2029 to $0.2300, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.