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4//SEC Filing

Aequitas Catalyst Fund LLC 4

Accession 0001144204-13-006581

CIK 0001142406other
View on SEC.govCompany Profile

Filed

Feb 5, 7:00 PM ET

Accepted

Feb 6, 8:42 PM ET

Size

72.9 KB

Accession

0001144204-13-006581

Insider Transaction Report

Form 4
Period: 2013-01-08
CarePayment Technologies, Inc.CPYT
Aequitas Management LLC
10% Owner
Transactions
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.98/sh+1,887$20,719→ 181,167 total(indirect: By LLC)
    → Class A Common Stock (1,887 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.92/sh+944$10,308→ 205,701 total(indirect: By LLC)
    → Class A Common Stock (944 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+94,358$1,026,615→ 309,495 total(indirect: By LLC)
    → Class A Common Stock (94,358 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+23,590$256,659→ 356,675 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Purchase

    Class A Common Stock

    2013-01-08$1.00/sh+37,743$37,743→ 10,002,245 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+94,358$94,358→ 10,096,603 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+944$944→ 10,170,203 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+9,436$9,436→ 10,179,639 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+47,179$47,179→ 10,143,782 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+1,887$1,887→ 10,145,669 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+23,590$23,590→ 10,169,259 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+9,436$9,436→ 10,330,613 total(indirect: By LLC)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.85/sh+9,436$102,381→ 375,547 total(indirect: By LLC)
    → Class A Common Stock (9,436 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$12.01/sh+23,590$283,316→ 399,137 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+94,358$94,358→ 10,273,997 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+23,590$23,590→ 10,297,587 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+23,590$23,590→ 10,321,177 total(indirect: By LLC)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.83/sh+94,358$1,021,897→ 132,101 total(indirect: By LLC)
    → Class A Common Stock (94,358 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$11.00/sh+47,179$518,969→ 179,280 total(indirect: By LLC)
    → Class A Common Stock (47,179 underlying)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+9,436$9,436→ 10,340,049 total(indirect: By LLC)
  • Conversion

    Class A Common Stock

    2013-01-31+3,991,370→ 14,331,419 total(indirect: By LLC)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-08$10.99/sh+37,743$414,796→ 37,743 total(indirect: By LLC)
    → Class A Common Stock (37,743 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.95/sh+23,590$258,310→ 204,757 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.91/sh+9,436$102,947→ 215,137 total(indirect: By LLC)
    → Class A Common Stock (9,436 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+23,590$256,659→ 333,085 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+9,436$102,664→ 366,111 total(indirect: By LLC)
    → Class A Common Stock (9,436 underlying)
  • Conversion

    Series D Convertible Preferred Stock

    2013-01-31−399,137→ 0 total(indirect: By LLC)
    → Class A Common Stock (3,991,370 underlying)
Holdings

  • Class A Common Stock

    (indirect: By LLC)
    1,056

  • Class A Common Stock

    (indirect: By LLC)
    743,622

  • Class A Common Stock

    (indirect: By Aequitas Capital Management, Inc.)
    109,227

  • Class A Common Stock

    (indirect: By LLC)
    462,603
Aequitas Holdings, LLC
10% Owner
Transactions
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.83/sh+94,358$1,021,897→ 132,101 total(indirect: By LLC)
    → Class A Common Stock (94,358 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+23,590$256,659→ 356,675 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.85/sh+9,436$102,381→ 375,547 total(indirect: By LLC)
    → Class A Common Stock (9,436 underlying)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+23,590$23,590→ 10,297,587 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+9,436$9,436→ 10,330,613 total(indirect: By LLC)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.95/sh+23,590$258,310→ 204,757 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Purchase

    Class A Common Stock

    2013-01-08$1.00/sh+37,743$37,743→ 10,002,245 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+47,179$47,179→ 10,143,782 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+23,590$23,590→ 10,169,259 total(indirect: By LLC)
  • Conversion

    Class A Common Stock

    2013-01-31+3,991,370→ 14,331,419 total(indirect: By LLC)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.98/sh+1,887$20,719→ 181,167 total(indirect: By LLC)
    → Class A Common Stock (1,887 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+23,590$256,659→ 333,085 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+9,436$9,436→ 10,179,639 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+23,590$23,590→ 10,321,177 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+9,436$9,436→ 10,340,049 total(indirect: By LLC)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.92/sh+944$10,308→ 205,701 total(indirect: By LLC)
    → Class A Common Stock (944 underlying)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+94,358$94,358→ 10,096,603 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+1,887$1,887→ 10,145,669 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+944$944→ 10,170,203 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+94,358$94,358→ 10,273,997 total(indirect: By LLC)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-08$10.99/sh+37,743$414,796→ 37,743 total(indirect: By LLC)
    → Class A Common Stock (37,743 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$11.00/sh+47,179$518,969→ 179,280 total(indirect: By LLC)
    → Class A Common Stock (47,179 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.91/sh+9,436$102,947→ 215,137 total(indirect: By LLC)
    → Class A Common Stock (9,436 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+94,358$1,026,615→ 309,495 total(indirect: By LLC)
    → Class A Common Stock (94,358 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+9,436$102,664→ 366,111 total(indirect: By LLC)
    → Class A Common Stock (9,436 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$12.01/sh+23,590$283,316→ 399,137 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Conversion

    Series D Convertible Preferred Stock

    2013-01-31−399,137→ 0 total(indirect: By LLC)
    → Class A Common Stock (3,991,370 underlying)
Holdings

  • Class A Common Stock

    (indirect: By Aequitas Capital Management, Inc.)
    109,227

  • Class A Common Stock

    (indirect: By LLC)
    462,603

  • Class A Common Stock

    (indirect: By LLC)
    1,056

  • Class A Common Stock

    (indirect: By LLC)
    743,622
Aequitas Capital Management Inc.
10% Owner
Transactions
  • Purchase

    Class A Common Stock

    2013-01-08$1.00/sh+37,743$37,743→ 10,002,245 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+1,887$1,887→ 10,145,669 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+23,590$23,590→ 10,169,259 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+23,590$23,590→ 10,297,587 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+23,590$23,590→ 10,321,177 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+9,436$9,436→ 10,330,613 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+9,436$9,436→ 10,340,049 total(indirect: By LLC)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.98/sh+1,887$20,719→ 181,167 total(indirect: By LLC)
    → Class A Common Stock (1,887 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.91/sh+9,436$102,947→ 215,137 total(indirect: By LLC)
    → Class A Common Stock (9,436 underlying)
  • Conversion

    Series D Convertible Preferred Stock

    2013-01-31−399,137→ 0 total(indirect: By LLC)
    → Class A Common Stock (3,991,370 underlying)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+94,358$94,358→ 10,096,603 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+47,179$47,179→ 10,143,782 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+944$944→ 10,170,203 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+9,436$9,436→ 10,179,639 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+94,358$94,358→ 10,273,997 total(indirect: By LLC)
  • Conversion

    Class A Common Stock

    2013-01-31+3,991,370→ 14,331,419 total(indirect: By LLC)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-08$10.99/sh+37,743$414,796→ 37,743 total(indirect: By LLC)
    → Class A Common Stock (37,743 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+23,590$256,659→ 333,085 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$11.00/sh+47,179$518,969→ 179,280 total(indirect: By LLC)
    → Class A Common Stock (47,179 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.92/sh+944$10,308→ 205,701 total(indirect: By LLC)
    → Class A Common Stock (944 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+94,358$1,026,615→ 309,495 total(indirect: By LLC)
    → Class A Common Stock (94,358 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+23,590$256,659→ 356,675 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+9,436$102,664→ 366,111 total(indirect: By LLC)
    → Class A Common Stock (9,436 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.85/sh+9,436$102,381→ 375,547 total(indirect: By LLC)
    → Class A Common Stock (9,436 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$12.01/sh+23,590$283,316→ 399,137 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.83/sh+94,358$1,021,897→ 132,101 total(indirect: By LLC)
    → Class A Common Stock (94,358 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.95/sh+23,590$258,310→ 204,757 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
Holdings

  • Class A Common Stock

    (indirect: By LLC)
    462,603

  • Class A Common Stock

    (indirect: By LLC)
    743,622

  • Class A Common Stock

    (indirect: By Aequitas Capital Management, Inc.)
    109,227

  • Class A Common Stock

    (indirect: By LLC)
    1,056
Aequitas Commercial Finance, LLC
10% Owner
Transactions
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$11.00/sh+47,179$518,969→ 179,280 total(indirect: By LLC)
    → Class A Common Stock (47,179 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.95/sh+23,590$258,310→ 204,757 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.92/sh+944$10,308→ 205,701 total(indirect: By LLC)
    → Class A Common Stock (944 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.91/sh+9,436$102,947→ 215,137 total(indirect: By LLC)
    → Class A Common Stock (9,436 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+23,590$256,659→ 356,675 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+9,436$102,664→ 366,111 total(indirect: By LLC)
    → Class A Common Stock (9,436 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.85/sh+9,436$102,381→ 375,547 total(indirect: By LLC)
    → Class A Common Stock (9,436 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$12.01/sh+23,590$283,316→ 399,137 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Conversion

    Series D Convertible Preferred Stock

    2013-01-31−399,137→ 0 total(indirect: By LLC)
    → Class A Common Stock (3,991,370 underlying)
  • Purchase

    Class A Common Stock

    2013-01-08$1.00/sh+37,743$37,743→ 10,002,245 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+94,358$94,358→ 10,096,603 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+1,887$1,887→ 10,145,669 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+23,590$23,590→ 10,169,259 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+47,179$47,179→ 10,143,782 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+9,436$9,436→ 10,179,639 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+23,590$23,590→ 10,297,587 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+9,436$9,436→ 10,340,049 total(indirect: By LLC)
  • Conversion

    Class A Common Stock

    2013-01-31+3,991,370→ 14,331,419 total(indirect: By LLC)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-08$10.99/sh+37,743$414,796→ 37,743 total(indirect: By LLC)
    → Class A Common Stock (37,743 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.98/sh+1,887$20,719→ 181,167 total(indirect: By LLC)
    → Class A Common Stock (1,887 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.83/sh+94,358$1,021,897→ 132,101 total(indirect: By LLC)
    → Class A Common Stock (94,358 underlying)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+944$944→ 10,170,203 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+94,358$94,358→ 10,273,997 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+23,590$23,590→ 10,321,177 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+9,436$9,436→ 10,330,613 total(indirect: By LLC)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+94,358$1,026,615→ 309,495 total(indirect: By LLC)
    → Class A Common Stock (94,358 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+23,590$256,659→ 333,085 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
Holdings

  • Class A Common Stock

    (indirect: By LLC)
    1,056

  • Class A Common Stock

    (indirect: By LLC)
    743,622

  • Class A Common Stock

    (indirect: By Aequitas Capital Management, Inc.)
    109,227

  • Class A Common Stock

    (indirect: By LLC)
    462,603
Aequitas CarePayment Founders Fund, LLC
10% Owner
Transactions
  • Purchase

    Class A Common Stock

    2013-01-08$1.00/sh+37,743$37,743→ 10,002,245 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+23,590$23,590→ 10,169,259 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+23,590$23,590→ 10,297,587 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+9,436$9,436→ 10,330,613 total(indirect: By LLC)
  • Conversion

    Class A Common Stock

    2013-01-31+3,991,370→ 14,331,419 total(indirect: By LLC)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.83/sh+94,358$1,021,897→ 132,101 total(indirect: By LLC)
    → Class A Common Stock (94,358 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.95/sh+23,590$258,310→ 204,757 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+23,590$256,659→ 333,085 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+9,436$102,664→ 366,111 total(indirect: By LLC)
    → Class A Common Stock (9,436 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.85/sh+9,436$102,381→ 375,547 total(indirect: By LLC)
    → Class A Common Stock (9,436 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$12.01/sh+23,590$283,316→ 399,137 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Conversion

    Series D Convertible Preferred Stock

    2013-01-31−399,137→ 0 total(indirect: By LLC)
    → Class A Common Stock (3,991,370 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-08$10.99/sh+37,743$414,796→ 37,743 total(indirect: By LLC)
    → Class A Common Stock (37,743 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.98/sh+1,887$20,719→ 181,167 total(indirect: By LLC)
    → Class A Common Stock (1,887 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+94,358$1,026,615→ 309,495 total(indirect: By LLC)
    → Class A Common Stock (94,358 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+23,590$256,659→ 356,675 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+94,358$94,358→ 10,096,603 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+9,436$9,436→ 10,179,639 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+9,436$9,436→ 10,340,049 total(indirect: By LLC)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.92/sh+944$10,308→ 205,701 total(indirect: By LLC)
    → Class A Common Stock (944 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.91/sh+9,436$102,947→ 215,137 total(indirect: By LLC)
    → Class A Common Stock (9,436 underlying)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+47,179$47,179→ 10,143,782 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+1,887$1,887→ 10,145,669 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+944$944→ 10,170,203 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+94,358$94,358→ 10,273,997 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+23,590$23,590→ 10,321,177 total(indirect: By LLC)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$11.00/sh+47,179$518,969→ 179,280 total(indirect: By LLC)
    → Class A Common Stock (47,179 underlying)
Holdings

  • Class A Common Stock

    (indirect: By LLC)
    1,056

  • Class A Common Stock

    (indirect: By LLC)
    462,603

  • Class A Common Stock

    (indirect: By LLC)
    743,622

  • Class A Common Stock

    (indirect: By Aequitas Capital Management, Inc.)
    109,227
Aequitas Catalyst Fund LLC
10% Owner
Transactions
  • Purchase

    Class A Common Stock

    2013-01-08$1.00/sh+37,743$37,743→ 10,002,245 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+94,358$94,358→ 10,096,603 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+1,887$1,887→ 10,145,669 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+9,436$9,436→ 10,179,639 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+23,590$23,590→ 10,297,587 total(indirect: By LLC)
  • Conversion

    Class A Common Stock

    2013-01-31+3,991,370→ 14,331,419 total(indirect: By LLC)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$11.00/sh+47,179$518,969→ 179,280 total(indirect: By LLC)
    → Class A Common Stock (47,179 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.98/sh+1,887$20,719→ 181,167 total(indirect: By LLC)
    → Class A Common Stock (1,887 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.95/sh+23,590$258,310→ 204,757 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.92/sh+944$10,308→ 205,701 total(indirect: By LLC)
    → Class A Common Stock (944 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.91/sh+9,436$102,947→ 215,137 total(indirect: By LLC)
    → Class A Common Stock (9,436 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+23,590$256,659→ 333,085 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+9,436$102,664→ 366,111 total(indirect: By LLC)
    → Class A Common Stock (9,436 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.85/sh+9,436$102,381→ 375,547 total(indirect: By LLC)
    → Class A Common Stock (9,436 underlying)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+23,590$23,590→ 10,321,177 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+9,436$9,436→ 10,330,613 total(indirect: By LLC)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+23,590$256,659→ 356,675 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
  • Conversion

    Series D Convertible Preferred Stock

    2013-01-31−399,137→ 0 total(indirect: By LLC)
    → Class A Common Stock (3,991,370 underlying)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+47,179$47,179→ 10,143,782 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+23,590$23,590→ 10,169,259 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+944$944→ 10,170,203 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+94,358$94,358→ 10,273,997 total(indirect: By LLC)
  • Purchase

    Class A Common Stock

    2013-01-30$1.00/sh+9,436$9,436→ 10,340,049 total(indirect: By LLC)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-08$10.99/sh+37,743$414,796→ 37,743 total(indirect: By LLC)
    → Class A Common Stock (37,743 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.83/sh+94,358$1,021,897→ 132,101 total(indirect: By LLC)
    → Class A Common Stock (94,358 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$10.88/sh+94,358$1,026,615→ 309,495 total(indirect: By LLC)
    → Class A Common Stock (94,358 underlying)
  • Purchase

    Series D Convertible Preferred Stock

    2013-01-30$12.01/sh+23,590$283,316→ 399,137 total(indirect: By LLC)
    → Class A Common Stock (23,590 underlying)
Holdings

  • Class A Common Stock

    (indirect: By LLC)
    743,622

  • Class A Common Stock

    (indirect: By LLC)
    1,056

  • Class A Common Stock

    (indirect: By Aequitas Capital Management, Inc.)
    109,227

  • Class A Common Stock

    (indirect: By LLC)
    462,603
Footnotes (4)
  • [F1]The voting and investment decisions with respect to the reported securities of CarePayment Technologies, Inc. (the "Company") owned by Aequitas CarePayment Founders Fund, LLC ("Founders Fund"), Aequitas Catalyst Fund, LLC ("Catalyst Fund"), Aequitas Capital Management, Inc. ("Aequitas"), Aequitas Commercial Finance, LLC ("ACF"), Aequitas Holdings, LLC ("Aequitas Holdings") and Aequitas Investment Management, LLC ("AIM") are directly determined by each entity's, or its manager's, Public Securities Investment Committee ("PSIC"). (Continued in Footnote 2)
  • [F2](Continued from Footnote 1) Each PSIC is composed of at least three members. Appointments to a PSIC must be approved by at least three members of Aequitas Management, LLC ("AML") holding, in the aggregate, at least 50% of AML's membership interests. Accordingly, AML may be deemed to be the indirect beneficial owner of the reported securities that are directly owned by Aequitas Holdings, Aequitas, ACF, Founders Fund, Catalyst Fund and AIM. The reporting persons disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests, if any, therein.
  • [F3]On January 31, 2013, the reporting persons converted shares of the Company's Series D Convertible Preferred Stock into shares of Class A Common Stock on a 10-for-1 basis.
  • [F4]The Series D Convertible Preferred Stock was convertible into shares of Class A Common Stock at any time at the option of the holder and had no expiration date. However, the Series D Convertible Preferred Stock was subject to mandatory redemption by the Company during January 2013 out of legally available funds. Shares of the Series D Convertible Preferred Stock were convertible on a 10-for-1 basis or such lower ratio as determined in accordance with the Company's Second Amended and Restated Certificate of Designation as of the date of conversion.

Documents

1 file

Issuer

CarePayment Technologies, Inc.

CIK 0001142406

→
Entity typeother

Related Parties

1
  • filerCIK 0001394195

Filing Metadata

Form type
4
Filed
Feb 5, 7:00 PM ET
Accepted
Feb 6, 8:42 PM ET
Size
72.9 KB
View on SEC.gov