SEC Form 5 · accession 0001415889-17-001707
ReposiTrak, Inc. · TRAK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert W Allen
Director
Period of report
Jun 30, 2017
Accepted (ET)
Oct 26, 2017 · 8:57 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 |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 11, 2016 | A | 212 | $11.80 | A | 577,401 | D | |
| Common Stock | Jan 18, 2017 | A | 198 | $12.65 | A | 577,401 | D | |
| Common Stock | May 12, 2017 | A | 202 | $12.35 | A | 577,401 | D | |
| Common Stock | holding | — | — | — | 118,933 | I | Trust (By Spouse) | |
| Series B Preferred Stock | holding | — | — | — | 79,493 | D | ||
| Series B-1 Preferred StockF2 | holding | — | — | — | 22,044 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant | $3.60 | holding | — | — | — | Mar 14, 2013 | Mar 14, 2018 | Common Stock | 45,833 | 45,833 | D |
| Warrant | $6.45 | holding | — | — | — | Aug 28, 2013 | Aug 28, 2018 | Common Stock | 25,581 | 25,581 | D |
| Warrants | $4.00 | holding | — | — | — | Feb 5, 2015 | Feb 5, 2020 | Common Stock | 130,753 | 130,753 | D |
Explanation of responses
- F1Shares issued in lieu of amounts payable to the Reporting Person for his service on the Issuer's Board of Directors for the quarters ended September 30, 2016, December 31, 2016 and March 31, 2017, respectively.
- F2Amount includes shares of Series B-1 Preferred issued to the Reporting Person during the year ended June 30, 2017 as payment-in-kind of accrued dividends.