SEC Form 4/A · accession 0001622181-17-000004

Function(x) Inc. · FNCX

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

Officer — Chairman & CEO · Director · 10% Owner

Period of report

Feb 28, 2017

Accepted (ET)

Mar 2, 2017 · 6:14 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000725876

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F3,F2	Feb 28, 2017	M	12,655,117	$2.34	A	14,195,680	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series C Preferred Stock^F1,F2	$2.34	Feb 28, 2017	M	26,264	D	—	—	Common Stock	12,655,117	0	D
Warrants (right to buy)^F4	$70.20	holding	—	—	—	Oct 24, 2014	Oct 24, 2019	Common Stock	11,250	11,250	D
Warrants (right to buy)^F5	$59.60	holding	—	—	—	Nov 25, 2014	Nov 25, 2019	Common Stock	7,500	7,500	D
Warrants (right to buy)^F6	$72.60	holding	—	—	—	Dec 15, 2014	Dec 15, 2019	Common Stock	38,750	38,750	D
Warrants (right to buy)^F7	$35.60	holding	—	—	—	Mar 16, 2015	Mar 16, 2020	Common Stock	17,500	17,500	D

F1The Series C Preferred Shares were exchangeable for shares of Common Stock pursuant to an Exchange Agreement, which was amended to provide the pricing at the time of the exchange.
F2Shares of Series C Preferred Stock were exchanged for Common Stock pursuant to the Exchange Agreement (as amended).
F3The shares of Common Stock were acquired in a transaction exempt from the provisions of Section 16(b) pursuant to the provisions of Rule 16b-3 promulgated thereunder.
F4Warrants previously acquired by SIC III, exercisable at $70.20 per share.
F5Warrants previously acquired by SIC III, exercisable at $59.60 per share.
F6Warrants previously acquired by SIC III, exercisable at $72.60 per share.
F7Warrants previously acquired by SIC III, exercisable at $35.60 per share.