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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HRG GROUP, INC. 450 PARK AVENUE 29TH FLOOR NEW YORK, NY 10022 |
X | *See Remarks |
HRG Group, Inc. By: /s/ George Nicholson, SVP, Chief Accounting Officer & Chief Financial Officer | 12/22/2017 | |
**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) | Represents the repurchase by the Issuer of 230,905 shares of common stock, par value $0.001 per share, of the Issuer from HRG Group, Inc. ("HRG") on December 21, 2017 at a purchase price of $0.01 per share for an aggregate purchase price of $2,309.05. |
Remarks: Messrs. Joseph Steinberg, George Nicholson and John McKeown serve on the board of directors of the Issuer. Mr. Steinberg is the Chief Executive Officer of HRG, Mr. Nicholson is Senior Vice President, Chief Accounting Officer & Chief Financial Officer of HRG and Mr. McKeown is Treasurer and Senior Vice President, Financial Planning and Analysis of HRG. As a result, HRG may be deemed to be a director of the Issuer by deputization. |