5//SEC Filing
Andrew William V. 5
Accession 0001144204-13-021528
CIK 0001476638other
Filed
Apr 11, 8:00 PM ET
Accepted
Apr 12, 2:43 PM ET
Size
24.3 KB
Accession
0001144204-13-021528
Insider Transaction Report
Form 5
Rackwise, Inc.RACK
Andrew William V.
Director
Transactions
- Purchase
12% Convertible Promissory Note due October 2012
2012-04-20+625,000→ 625,000 total(indirect: By Trust)Exercise: $0.20From: 2012-04-20→ Common Stock (625,000 underlying) - Award
Director Stock Option (right to buy)
2012-07-18+500,000→ 500,000 totalExercise: $0.35From: 2012-07-18Exp: 2022-07-18→ Common Stock (500,000 underlying) - Purchase
12% Convertible Promissory Note due October 2012
2012-08-15+259,863→ 259,863 total(indirect: By Trust)Exercise: $0.20From: 2012-08-15→ Common Stock (259,863 underlying) - Conversion
Common Stock Warrants (right to buy)
2011-09-21+102,723→ 102,723 total(indirect: By Trust)Exercise: $0.63From: 2011-09-21Exp: 2016-09-20→ Common Stock (102,723 underlying) - Purchase
Common Stock Warrants (right to buy)
2011-12-16+100,000→ 100,000 total(indirect: By Trust)Exercise: $1.00From: 2011-12-16Exp: 2016-12-15→ Common Stock (100,000 underlying)
Holdings
- 630,445(indirect: By Trust)
Common Stock
Footnotes (8)
- [F1]The reporting person became a director of the Issuer on July 18, 2012.
- [F2]Represents the reporting person's ownership on reported securities prior to being appointed as a director of the Issuer.
- [F3]Andrew Revocable Trust U/A 5/4/94 (the "Trust") owns the reported securities directly. The reporting person is the trustee of the Trust, has the power to vote and dispose of the shares, and may be deemed to have an indirect interest in the reported securities.
- [F4]The reporting person converted a $50,000 Promissory Note plus interest on September 21, 2011 to Units of the Issuer at a conversion price of $0.25 per Unit resulting in his acquisition of 205,445 Units. Each Unit consists of one share of common stock and one warrant to purchase one-half share of common stock at the exercise price of $0.625 per share.
- [F5]The reported securities are included within the Units of the Issuer purchased by the reporting person for $0.375 per Unit. Each Unit consists of one share of common stock and one warrant to purchase one-quarter of a share of common stock at the exercise price of $1.00 per share.
- [F6]On July 18, 2012, the reporting person was granted an option to purchase 500,000 shares of common stock. 50% vested upon issuance and 50% is eligible to vest on July 18, 2013.
- [F7]Does not include interest accrued and unpaid as of the date of this report.
- [F8]None
Issuer
Rackwise, Inc.
CIK 0001476638
Entity typeother
Related Parties
1- filerCIK 0001572805
Filing Metadata
- Form type
- 5
- Filed
- Apr 11, 8:00 PM ET
- Accepted
- Apr 12, 2:43 PM ET
- Size
- 24.3 KB