SEC Form 4 · accession 0001415889-18-000250
ReposiTrak, Inc. · TRAK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Randall K Fields
Officer — CHIEF EXECUTIVE OFFICER · Director · 10% Owner
Period of report
Jan 27, 2018
Accepted (ET)
Feb 14, 2018 · 6:34 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-1 Preferred Stock | Jan 27, 2018 | J | 69,247 | $10.70 | D | 78,123 | I | By Riverview Financial Corp |
| Series B-1 Preferred Stock | Jan 27, 2018 | J | 13,852 | $10.70 | D | 121,936 | I | By Fields Management, Inc. |
| Common StockF2 | holding | — | — | — | 3,699,214 | D | ||
| Common Stock | holding | — | — | — | 650,693 | I | By Riverview Financial Corp. | |
| Common Stock | holding | — | — | — | 30,667 | I | By Spouse | |
| Common StockF3 | 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 | — | — | — | 657 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 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 |
Explanation of responses
- F1The reported shares of Series B-1 Preferred Stock were called for redemption by the Issuer at a price of $10.70 per share.
- F2Includes 5,157 unvested shares of common stock.
- F3Includes 771,587 unvested shares of common stock.