SEC Form 4/A · accession 0001415889-15-002958
ReposiTrak, Inc. · TRAK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Randall K Fields
Officer — CHIEF EXECUTIVE OFFICER · Director · 10% Owner
Period of report
Feb 5, 2015
Accepted (ET)
Sep 1, 2015 · 1:52 pm EDT
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 | 5,200 | $0.00 | A | 15,200 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF2 | $4.00 | Feb 5, 2015 | A | 914,065 | A | Feb 5, 2015 | Feb 5, 2020 | Common Stock | 914,065 | 914,065 | I |
| WarrantF2 | $4.00 | Feb 5, 2015 | A | 40,250 | A | Feb 5, 2015 | Feb 5, 2020 | Common Stock | 40,250 | 40,250 | 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.