UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Seefeld Matthew Stephen 15851 CAMINITO CANTARAS DEL MAR, GA 30309 |
 |  |  Sr. Vice President, Strategy |  |
s/ Matthew D. Rolfes, by power of attorney | 04/19/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | On December 7, 2011, IPP Holding Company, LLC ("IPP") sold its assets to Streamline Health Solutions Inc. (the "Issuer"), and received as partial consideration a convertible promissory note of the Issuer in the principal amount of $3,000,000. On June 15, 2012, IPP converted the note into 1,529,729 shares of the Issuer's common stock (the "Shares"), which are held directly by IPP. Mr. Seefeld is a member of IPP, and has a percentage interest in the portion of the shares reflected above. Therefore, Mr. Seefeld may be deemed to have beneficial ownership over this portion of the shares. Mr. Seefeld does not have voting or dispositive control over either IPP or the shares, and he disclaims beneficial ownership over any other portion of the shares. |