SEC Form 4 · accession 0001209191-19-002174

ConvergeOne Holdings, Inc. · CVON

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Financial Officer

Period of report

Jan 4, 2019

Accepted (ET)

Jan 4, 2019 · 5:45 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001697152

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Jan 4, 2019	J	320,000	—	D	320,000	D
Common Stock^F2	Jan 4, 2019	D	415,039	$12.50	D	0	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Stock Option ( Right to Buy)^F3	$9.24	Jan 4, 2019	D	217,500	D	—	Aug 9, 2028	Common Stock	217,500	D
Stock Option ( Right to Buy)^F3	$12.24	Jan 4, 2019	D	108,750	D	—	Aug 9, 2028	Common Stock	108,750	D
Stock Option ( Right to Buy)^F3	$15.24	Jan 4, 2019	D	108,750	D	—	Aug 9, 2028	Common Stock	108,750	D

F1Shares were disposed of pursuant to the rollover agreement dated November 6, 2018 between the reporting person and PVKG Investment Holdings, Inc. ("Purchaser") in exchange for shares of common stock of Purchaser, valuing the contributed shares at $12.50 per share.
F2Consists of shares of common stock disposed of pursuant to the agreement and plan of merger, dated November 6, 2018, among Purchaser, PVKG Merger Sub, Inc., a wholly owned subsidiary of Purchaser, and ConvergeOne Holdings, Inc. (the "Merger Agreement"), in exchange for $12.50 per share.
F3In connection with the Merger Agreement, each option to acquire shares of Common Stock of Issuer outstanding and unexercised was canceled, extinguished and terminated for no consideration or payment.