SEC Form 4 · accession 0000914760-15-000097
ROI Acquisition Corp. II · ROIQU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
George E. Hall
Officer — Chief Investment Officer · Director · 10% Owner
GEH Capital Inc.
Director
Period of report
Mar 6, 2015
Accepted (ET)
Mar 9, 2015 · 5:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001581607
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Mar 6, 2015 | S | 695,312 | $0.007 | D | 2,085,938 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Up to 585,938 shares will be subject to forfeiture unless (i) the last sales price of the Issuer's common stock equals or exceeds $13.00 per share (as adjusted for share splits, share dividends, reorganizations, recapitalizations and the like) for any 20 trading days within at least one 30-trading day period within 5 years following the closing of the Issuer's initial business combination or (ii) the Issuer completes a liquidation, merger, stock exchange or other similar transaction that results in all of its stockholders having the right to exchange their shares of common stock for consideration in cash, securities or other property which equals or exceeds $13.00 per share (as adjusted for stock splits, stock dividends, reorganizations, recapitalizations and the like).
- F2By GEH Capital, Inc., an entity wholly owned by George E. Hall.