SEC Form 4 · accession 0001415889-18-001620
ReposiTrak, Inc. · TRAK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert W Allen
Director
Period of report
Aug 17, 2018
Accepted (ET)
Nov 14, 2018 · 12:20 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 | Aug 17, 2018 | X | 25,581 | $6.45 | A | 650,091 | D | |
| Common Stock | Nov 12, 2018 | A | 1,856 | $10.10 | A | 651,947 | D | |
| Common Stock | holding | — | — | — | 118,933 | I | Trust (By Spouse) | |
| Series B Preferred Stock | holding | — | — | — | 79,493 | D | ||
| Series B-1 Preferred Stock | holding | — | — | — | 11,686 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant | $6.45 | Aug 17, 2018 | X | 25,581 | D | Aug 23, 2018 | Aug 28, 2018 | Common Stock | 25,581 | 0 | D |
| Warrant | $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 quarter ended September 30, 2018, based on the closing price of the Issuer's common stock on September 28, 2018, as reported on the Nasdaq Capital Market.