SEC Form 4 · accession 0001209191-18-025941
ConvergeOne Holdings, Inc. · CVON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Boris
Director
Period of report
Apr 20, 2018
Accepted (ET)
Apr 24, 2018 · 4:14 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001697152
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (Right to Buy) | $11.50 | Apr 20, 2018 | D | 12,500 | D | Apr 12, 2018 | Feb 22, 2023 | Common Stock | 12,500 | 0 | D |
Explanation of responses
- F1On February 22, 2018, the Reporting Person acquired from the Issuer a warrant to purchase shares of the Issuer's common stock (the "Warrant"). On April 20, 2018 (the "Effective Date"), pursuant to an Issuer tender offer pursuant to the terms and conditions set forth in the Offer to Purchase for Cash included as an exhibit to the Tender Offer Statement on Schedule TO filed by the Issuer with the Securities and Exchange Commission on February 26, 2018, as amended, the Issuer accepted for purchase the Warrant from the Reporting Person for $1.20 per warrant share. This transaction is reported herein as a disposition of the Warrant on the Effective Date.