SEC Form 4 · accession 0001094891-15-000100
CPI AEROSTRUCTURES INC · CVU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric Rosenfeld
Director
Period of report
Mar 11, 2015
Accepted (ET)
Mar 12, 2015 · 3:21 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000889348
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 11, 2015 | M | 10,000 | $8.00 | A | 172,785 | D | |
| Common Stock | Mar 11, 2015 | F | 6,700 | $11.94 | D | 166,085 | D | |
| Common StockF1 | holding | — | — | — | 510,270 | I | By Crescendo Partners II, L.P. Series L |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common Stock | $8.00 | Mar 11, 2015 | M | 10,000 | D | Apr 1, 2010 | Mar 31, 2015 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Mr. Rosenfeld is the senior managing member of Crescendo Investments II, LLC ("Crescendo Investments II"). Crescendo Investments II is the general partner of Crescendo Partners II, L.P. Series L ("Crescendo Partners II"). Mr. Rosenfeld and Crescendo Investments II disclaim beneficial ownership of the shares held by Crescendo Partners II, except to the extent of his or its pecuniary interest therein.