4//SEC Filing
Waye Thom 4
Accession 0001144204-12-056447
CIK 0001505611other
Filed
Oct 15, 8:00 PM ET
Accepted
Oct 16, 5:35 PM ET
Size
14.1 KB
Accession
0001144204-12-056447
Insider Transaction Report
Form 4
Sigma Opportunity Fund II, LLC
10% Owner
Transactions
- Other
Common Stock, par value $.001 per share
2012-10-12−58,800→ 874,627 total(indirect: See Footnote) - Other
Series C Cumulative Convertible Preferred Stock
2012-10-12−154,400→ 1,132,267 total(indirect: See Footnote)Exercise: $3.20→ Common Stock (154,400 underlying)
Waye Thom
10% Owner
Transactions
- Other
Series C Cumulative Convertible Preferred Stock
2012-10-12−154,400→ 1,132,267 total(indirect: See Footnote)Exercise: $3.20→ Common Stock (154,400 underlying) - Other
Common Stock, par value $.001 per share
2012-10-12−58,800→ 874,627 total(indirect: See Footnote)
Sigma Capital Advisors, LLC
10% Owner
Transactions
- Other
Series C Cumulative Convertible Preferred Stock
2012-10-12−154,400→ 1,132,267 total(indirect: See Footnote)Exercise: $3.20→ Common Stock (154,400 underlying) - Other
Common Stock, par value $.001 per share
2012-10-12−58,800→ 874,627 total(indirect: See Footnote)
Sigma Capital Partners, LLC
10% Owner
Transactions
- Other
Common Stock, par value $.001 per share
2012-10-12−58,800→ 874,627 total(indirect: See Footnote) - Other
Series C Cumulative Convertible Preferred Stock
2012-10-12−154,400→ 1,132,267 total(indirect: See Footnote)Exercise: $3.20→ Common Stock (154,400 underlying)
Footnotes (5)
- [F1]Pursuant to a certain stock purchase agreement, dated October 12, 2012, by and between Sigma Opportunity Fund II, LLC ("Sigma Fund") and Donald W. Rowley ("DWR"), DWR purchased (i) 58,800 shares of Common Stock and (ii) 154,400 shares of Series C Convertible Preferred Stock of the Issuer from Sigma Fund for an aggregate purchase price of $494,080.
- [F2]This Form 4 is filed jointly by Sigma Fund, Sigma Capital Advisor, LLC ("Sigma Advisors"), Sigma Capital Partners, LLC ("Sigma Partners") and Thom Waye.
- [F3]Of these securities, (i) 65,000 shares are owned directly by Sigma Advisors and (ii) 809,627 shares are owned directly by Sigma Fund. Mr. Waye, Sigma Partners and Sigma Advisors may be deemed to indirectly beneficially own the securities not directly owned by virtue of Mr. Waye being the sole member of Sigma Partners, which is the sole member of Sigma Advisors, the managing member of Sigma Fund for which Mr. Waye is the manager. Each of the reporting persons disclaims beneficial ownership of the securities not directly owned by them except to the extent of their pecuniary interest therein.
- [F4]The Series C Convertible Preferred Stock is currently exercisable and may be converted into shares of Common Stock by the holder at any time and has no expiration date.
- [F5]All of these securities reported are directly owned by Sigma Fund and indirectly by (i) Sigma Advisors, as managing member of Sigma Fund, (ii) Sigma Partners by virtue of it being the sole member of Sigma Advisors, and (iii) Mr. Waye by virtue of his position as the sole member of Sigma Partners and manager of Sigma Fund. Mr. Waye, Sigma Partners and Sigma Advisors disclaim beneficial ownership of the securities owned by Sigma Fund except to the extent of their pecuniary interest therein.
Documents
Issuer
DecisionPoint Systems, Inc.
CIK 0001505611
Entity typeother
Related Parties
1- filerCIK 0001327217
Filing Metadata
- Form type
- 4
- Filed
- Oct 15, 8:00 PM ET
- Accepted
- Oct 16, 5:35 PM ET
- Size
- 14.1 KB