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Advanced Equities Financial Corp 4

Accession 0001104659-10-064048

CIK 0001336691other
View on SEC.govCompany Profile

Filed

Dec 21, 7:00 PM ET

Accepted

Dec 22, 5:04 PM ET

Size

29.1 KB

Accession

0001104659-10-064048

Insider Transaction Report

Form 4
Period: 2010-11-01
MOTRICITY INCMOTR
AEI Wireless III, LLC
10% Owner
Transactions
  • Exercise of In-Money

    Warrants

    2010-11-12−1,554→ 435,135 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (769 underlying)
  • Exercise of In-Money

    Warrants

    2010-12-01−426,264→ 8,768 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (217,861 underlying)
  • Sale

    Common Stock

    2010-12-15$18.26/sh−196,441$3,586,934→ 455,892 total
  • Exercise of In-Money

    Warrants

    2010-11-01−2,688→ 436,689 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (908 underlying)
  • Exercise of In-Money

    Warrants

    2010-11-13−103→ 435,032 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (50 underlying)
  • Sale

    Common Stock

    2010-12-15$18.29/sh−219,588$4,016,638→ 455,892 total
Holdings

  • Warrants

    Exercise: $14.54Exp: 2014-12-28→ Common Stock (8,768 underlying)
    8,768
Advanced Equities Inc.
10% Owner
Transactions
  • Exercise of In-Money

    Warrants

    2010-11-01−2,688→ 436,689 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (908 underlying)
  • Exercise of In-Money

    Warrants

    2010-11-12−1,554→ 435,135 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (769 underlying)
  • Sale

    Common Stock

    2010-12-15$18.26/sh−196,441$3,586,934→ 455,892 total
  • Sale

    Common Stock

    2010-12-15$18.29/sh−219,588$4,016,638→ 455,892 total
  • Exercise of In-Money

    Warrants

    2010-11-13−103→ 435,032 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (50 underlying)
  • Exercise of In-Money

    Warrants

    2010-12-01−426,264→ 8,768 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (217,861 underlying)
Holdings

  • Warrants

    Exercise: $14.54Exp: 2014-12-28→ Common Stock (8,768 underlying)
    8,768
Advanced Equities Financial Corp
10% Owner
Transactions
  • Exercise of In-Money

    Warrants

    2010-12-01−426,264→ 8,768 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (217,861 underlying)
  • Exercise of In-Money

    Warrants

    2010-11-01−2,688→ 436,689 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (908 underlying)
  • Sale

    Common Stock

    2010-12-15$18.26/sh−196,441$3,586,934→ 455,892 total
  • Sale

    Common Stock

    2010-12-15$18.29/sh−219,588$4,016,638→ 455,892 total
  • Exercise of In-Money

    Warrants

    2010-11-12−1,554→ 435,135 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (769 underlying)
  • Exercise of In-Money

    Warrants

    2010-11-13−103→ 435,032 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (50 underlying)
Holdings

  • Warrants

    Exercise: $14.54Exp: 2014-12-28→ Common Stock (8,768 underlying)
    8,768
AEI Wireless, LLC
10% Owner
Transactions
  • Sale

    Common Stock

    2010-12-15$18.29/sh−219,588$4,016,638→ 455,892 total
  • Exercise of In-Money

    Warrants

    2010-11-12−1,554→ 435,135 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (769 underlying)
  • Exercise of In-Money

    Warrants

    2010-12-01−426,264→ 8,768 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (217,861 underlying)
  • Sale

    Common Stock

    2010-12-15$18.26/sh−196,441$3,586,934→ 455,892 total
  • Exercise of In-Money

    Warrants

    2010-11-01−2,688→ 436,689 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (908 underlying)
  • Exercise of In-Money

    Warrants

    2010-11-13−103→ 435,032 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (50 underlying)
Holdings

  • Warrants

    Exercise: $14.54Exp: 2014-12-28→ Common Stock (8,768 underlying)
    8,768
AEI Silicon Valley Fund II, LLC
10% Owner
Transactions
  • Sale

    Common Stock

    2010-12-15$18.26/sh−196,441$3,586,934→ 455,892 total
  • Exercise of In-Money

    Warrants

    2010-11-01−2,688→ 436,689 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (908 underlying)
  • Exercise of In-Money

    Warrants

    2010-12-01−426,264→ 8,768 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (217,861 underlying)
  • Sale

    Common Stock

    2010-12-15$18.29/sh−219,588$4,016,638→ 455,892 total
  • Exercise of In-Money

    Warrants

    2010-11-12−1,554→ 435,135 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (769 underlying)
  • Exercise of In-Money

    Warrants

    2010-11-13−103→ 435,032 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (50 underlying)
Holdings

  • Warrants

    Exercise: $14.54Exp: 2014-12-28→ Common Stock (8,768 underlying)
    8,768
Badger Dwight
10% Owner
Transactions
  • Exercise of In-Money

    Warrants

    2010-11-13−103→ 435,032 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (50 underlying)
  • Exercise of In-Money

    Warrants

    2010-12-01−426,264→ 8,768 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (217,861 underlying)
  • Exercise of In-Money

    Warrants

    2010-11-01−2,688→ 436,689 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (908 underlying)
  • Sale

    Common Stock

    2010-12-15$18.26/sh−196,441$3,586,934→ 455,892 total
  • Sale

    Common Stock

    2010-12-15$18.29/sh−219,588$4,016,638→ 455,892 total
  • Exercise of In-Money

    Warrants

    2010-11-12−1,554→ 435,135 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (769 underlying)
Holdings

  • Warrants

    Exercise: $14.54Exp: 2014-12-28→ Common Stock (8,768 underlying)
    8,768
Daubenspeck Keith
10% Owner
Transactions
  • Sale

    Common Stock

    2010-12-15$18.29/sh−219,588$4,016,638→ 455,892 total
  • Sale

    Common Stock

    2010-12-15$18.26/sh−196,441$3,586,934→ 455,892 total
  • Exercise of In-Money

    Warrants

    2010-11-01−2,688→ 436,689 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (908 underlying)
  • Exercise of In-Money

    Warrants

    2010-11-12−1,554→ 435,135 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (769 underlying)
  • Exercise of In-Money

    Warrants

    2010-11-13−103→ 435,032 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (50 underlying)
  • Exercise of In-Money

    Warrants

    2010-12-01−426,264→ 8,768 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (217,861 underlying)
Holdings

  • Warrants

    Exercise: $14.54Exp: 2014-12-28→ Common Stock (8,768 underlying)
    8,768
AEI Wireless II, LLC
10% Owner
Transactions
  • Sale

    Common Stock

    2010-12-15$18.26/sh−196,441$3,586,934→ 455,892 total
  • Sale

    Common Stock

    2010-12-15$18.29/sh−219,588$4,016,638→ 455,892 total
  • Exercise of In-Money

    Warrants

    2010-11-12−1,554→ 435,135 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (769 underlying)
  • Exercise of In-Money

    Warrants

    2010-11-13−103→ 435,032 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (50 underlying)
  • Exercise of In-Money

    Warrants

    2010-11-01−2,688→ 436,689 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (908 underlying)
  • Exercise of In-Money

    Warrants

    2010-12-01−426,264→ 8,768 total
    Exercise: $14.54Exp: 2014-12-28→ Common Stock (217,861 underlying)
Holdings

  • Warrants

    Exercise: $14.54Exp: 2014-12-28→ Common Stock (8,768 underlying)
    8,768
Footnotes (11)
  • [F1]This includes Advanced Equities Investments XXV, LLC 3,891, Advanced Equities Investments XXVI, LLC, 1,272, Advanced Equities Investments XXXV, LLC 1,468, Advanced Equities Motricity Common Investments I, LLC 489, Advanced Equities Motricity Common Investments II, LLC, 13,582, Advanced Equities Motricity Series I Investments, LLC 304, Advanced Equities Motricity Series I Investments II, LLC 1,664, Advanced Equities Triangle Acquisition I, LLC 12,969, Advanced Equities Triangle Acquisition II, LLC 40,909, AEI 2006 Venture Investments I, LLC, 11,439,
  • [F10]This was a partial net exercise of a warrant through which the right to purchase 103 shares of Common Stock was surrendered in exchange for 50 shares of Common Stock..
  • [F11]This was a partial net exercise of a warrant through which the right to purchase 426,264 shares of Common Stock was surrendered in exchange for 217,861 shares of Common Stock..
  • [F2]AEI 2006 Venture Investments II, LLC 26,120, AEI 2006 Venture Investments III, LLC 46, AEI 2006 Venture Investments IV, LLC 26, AEI 2007 Venture Investments III, LLC 65, AEI 2007 Venture Investments IV, LLC 76, AEI Eastern Investments I, LLC 1,213, AEI Eastern Investments II, LLC 10,020, AEI Eastern Investments III, LLC 2,368, AEI Eastern Investments IV, LLC 4,608, AEI Silicon Valley Fund II, LLC 1, AEI Trilogy Fund I, LLC 4,105, AEI Wireless II, LLC 34,715, AEI Wireless III, LLC 4,715, AEI Wireless, LLC 20,376
  • [F3]The remaining shares owned by each entity listed in footnote 1 ( including any shares owned by such LLCs as a result of conversion of Warrants) were distributed to the members of each such entity. All filers disclaim a pecuniary interest in the shares received from the warrants exercised by those LLC, except to the extent of any fee payable to Advanced Equities, Inc. RDKC Investments II, LLC, an entity in which Keith Daubenspeck and Dwight Badger are members, but over which neither has any control, still owns 455,892 shares of Common Stock.
  • [F4]No further Non Derivative ownership remains other than Daubenspeck and Badger's ownership interests in RDKC Investments II, LLC
  • [F5]These were securities sold by Advanced Equities Financial Corp. which were received through the exercise of
  • [F6]Exercisable any day prior to Expiration.
  • [F7]This was a partial net exercise of a warrant through which the right to purchase 2,668 shares of Common Stock was surrendered in exchange for 908 shares of Common Stock..
  • [F8]This was a Warrant that was issued by the issuer when it was still publicly held. There are no quotes for it.
  • [F9]This was a partial net exercise of a warrant through which the right to purchase 1,554 shares of Common Stock was surrendered in exchange for 769 shares of Common Stock..

Documents

1 file

Issuer

MOTRICITY INC

CIK 0001336691

→
Entity typeother
IncorporatedDE

Related Parties

1
  • filerCIK 0001347807

Filing Metadata

Form type
4
Filed
Dec 21, 7:00 PM ET
Accepted
Dec 22, 5:04 PM ET
Size
29.1 KB
View on SEC.gov