SEC Form 4 · accession 0001415889-15-000489
ReposiTrak, Inc. · TRAK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Randall K Fields
Officer — CHIEF EXECUTIVE OFFICER · Director · 10% Owner
Period of report
Feb 5, 2015
Accepted (ET)
Feb 11, 2015 · 9:09 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000050471
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Series B Preferred StockF1,F2 | Feb 5, 2015 | A | 181,806 | — | A | 531,432 | I | By Riverview Financial Corp |
| Series B Preferred StockF1,F2 | Feb 5, 2015 | A | 27,192 | — | A | 37,192 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF2 | $4.00 | Feb 5, 2015 | A | 874,065 | A | Feb 5, 2015 | Feb 5, 2020 | Common Stock | 874,065 | 874,065 | I |
| WarrantsF2 | $4.00 | Feb 5, 2015 | A | 25,000 | A | Feb 5, 2015 | Feb 5, 2020 | Common Stock | 25,000 | 25,000 | I |
Explanation of responses
- F1Following the filing of an amendment to the Certificate of Designation of the Relative Rights, Powers and Preference of the Series B Preferred filed by the Issuer on February 5, 2015 (the "Series B Amendment"), shares of Series B Preferred Stock are no longer convertible.
- F2The shares and warrants reported herein were issued as consideration for the Reporting Person's consent to the filing of the Series B Amendment.