SEC Form 4 · accession 0001415889-18-000029

ReposiTrak, Inc. · TRAK

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

Reporting owner

Officer — CHIEF EXECUTIVE OFFICER · Director · 10% Owner

Period of report

Jan 5, 2018

Accepted (ET)

Jan 9, 2018 · 4:28 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
Common Stock^F2	Jan 5, 2018	A	685	$8.08	A	3,699,214	D
Common Stock	holding	—	—		—	650,693	I	By Riverview Financial Corp.
Common Stock	holding	—	—		—	30,667	I	By Spouse
Common Stock^F3	holding	—	—		—	1,289,230	I	By Fields Management
Series B Preferred Stock	holding	—	—		—	531,432	I	By Riverview Financial Corp
Series B Preferred Stock	holding	—	—		—	14,450	I	By Spouse
Common Stock	holding	—	—		—	205,000	I	By Charitable 2010, LLC
Series B-1 Preferred Stock	holding	—	—		—	135,788	I	By Fields Management, Inc.
Series B-1 Preferred Stock	holding	—	—		—	147,370	I	By Riverview Financial Corp
Series B-1 Preferred Stock	holding	—	—		—	657	I	By Spouse

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	6,875	6,875	D
Warrant	$10.00	holding	—	—	—	Jan 26, 2015	Jan 26, 2020	Common Stock	3,178	3,178	D
Warrants	$4.00	holding	—	—	—	Feb 5, 2015	Feb 5, 2020	Common Stock	914,065	914,065	I
Warrants	$4.00	holding	—	—	—	Feb 5, 2015	Feb 5, 2020	Common Stock	40,250	40,250	I

F1Shares issued in lieu of cash compensation at a 15% discount to fair market value, pursuant to the Issuer's 2011 Employee Stock Purchase Plan.
F2Includes 5,157 unvested shares of common stock.
F3Includes 771,587 unvested shares of common stock.