Goldberg Neil 4
4 · ConvergeOne Holdings, Inc. · Filed Feb 26, 2018
Insider Transaction Report
Form 4
Goldberg Neil
Director
Transactions
- Purchase
Common Stock
2018-02-22$8.00/sh+312,500$2,500,000→ 312,500 total(indirect: See Footnote) - Other
Common Stock
2018-02-22+126,250→ 438,750 total(indirect: See Footnote) - Other
Warrants
2018-02-22+25,000→ 25,000 total(indirect: See Footnote)Exercise: $11.50From: 2018-04-12Exp: 2023-02-22→ Common Stock (25,000 underlying)
Footnotes (5)
- [F1]Represents receipt of the reporting person's pro rata distribution of the shares of common stock and warrants of the registrant held by Forum Investors I, LLC.
- [F2]These securities are owned by the NeilGoldberg 1995 Irrevocable Trust of which the person is the trustee.
- [F3]The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
- [F4]The warrant will become exercisable 12 months from the closing of the registrant initial public offering, which occurred on April 12, 2017.
- [F5]The warrant will expire five years after the completion of that certain Agreement and Plan of Merger, dated as of November 30, 2017, by and among the registrant, FMC Merger Subsidiary Corp., FMC Merger Subsidiary LLC, Old C1 and Clearlake Capital Management III, L.P. in the capacity as the Seller Representative, or earlier upon redemption.