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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A-1 Preferred Stock | (2) | 05/29/2014 | C | 117,441 | (2) | (2) | Common Stock | 164,417 | $ 0 | 0 | I | See footnote (1) | |||
Series B Preferred Stock | (2) | 05/29/2014 | C | 1,393,000 | (2) | (2) | Common Stock | 1,950,200 | $ 0 | 0 | I | See footnote (3) | |||
Series C Preferred Stock | (2) | 05/29/2014 | C | 328,821 | (2) | (2) | Common Stock | 460,350 | $ 0 | 0 | I | See footnote (4) | |||
Warrants (right to buy) | $ 10 | 05/29/2014 | J(11) | 141,825 | 12/30/2009 | 12/30/2019 | Series A-1 Preferred Stock | 141,825 | $ 0 | 0 | I | See footnote (1) | |||
Convertible Subordinated Notes | $ 6 | 05/29/2014 | C | $ 942,540.84 | (5) | (5) | Common Stock | 158,174 | $ 0 | $ 0 | I | See footnote (6) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Moorin Jay C/O PROQUEST INVESTMENTS 2430 VANDERBILT BEACH ROAD, #108 - 190 NAPLES, FL 34109 |
X | |||
SCHREIBER ALAIN C/O PROQUEST INVESTMENTS 2430 VANDERBILT BEACH ROAD, #108 - 190 NAPLES, FL 34109 |
X | |||
ProQuest Investments III, L.P. 2430 VANDERBILT BEACH ROAD, #108 - 190 NAPLES, FL 34109 |
X | |||
ProQuest Associates III LLC 2430 VANDERBILT BEACH ROAD, #108 - 190 NAPLES, FL 34109 |
X | |||
ProQuest Investments IV, L.P. 2430 VANDERBILT BEACH ROAD, #108 - 190 NAPLES, FL 34109 |
X | |||
ProQuest Associates IV LLC 2430 VANDERBILT BEACH ROAD, #108 - 190 NAPLES, FL 34109 |
X |
/s/ Pasquale DeAngelis | 06/02/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Owned by ProQuest Investments III, L.P. |
(2) | This class of preferred stock (i) converted on a 1.4-for-1 basis automatically upon the closing of the Issuer's initial public offering and (ii) had no expiration date. |
(3) | Of such shares, 1,400,000 are owned by ProQuest Investments III, L.P. and 550,200 are owned by ProQuest Investments IV, L.P. |
(4) | Of such shares, 330,486 are owned by ProQuest Investments III, L.P. and 129,864 are owned by ProQuest Investments IV, L.P. |
(5) | The notes converted automatically upon the Issuer's initial public offering. Absent conversion, the notes mature on the earier of (a) 10 days after written demand by a majority of the holders of the class of notes occuring after August 1, 2014, (b) consummation of a sale transaction as defined in the notes or (c) liquidation, dissolution or winding up of the Issuer. |
(6) | Of such amount, $676,652.12 is owned by ProQuest Investments III, L.P. and $265,888.72 is owned by ProQuest Investmemts IV, L.P. |
(7) | Of such shares, 1,567,140 are owned by ProQuest Investments III, L.P. and 550,200 are owned by ProQuest Investments IV, L.P. |
(8) | Of such shares, 1,897,626 are owned by ProQuest Investments III, L.P. and 680,064 are owned by ProQuest Investments IV, L.P. |
(9) | Of such shares, 2,011,179 are owned by ProQuest Investments III, L.P. and 724,685 are owned by ProQuest Investments IV, L.P. |
(10) | Of such shares, 2,677,846 are owned by Proquest Investements III, L.P. and 1,178,851 are owned by ProQuest Investments IV, L.P. |
(11) | Warrants expired unexercised for no value. |