KATZMAN RICHARD 4
4 · ConvergeOne Holdings, Inc. · Filed Feb 23, 2018
Insider Transaction Report
Form 4
KATZMAN RICHARD
Director
Transactions
- Other
Warrant (Right to Buy)
2018-02-22+7,500→ 7,500 totalExercise: $11.50From: 2018-04-12Exp: 2023-02-22→ Common Stock (7,500 underlying) - Purchase
Common Stock
2018-02-22$8.00/sh+125,000$1,000,000→ 125,000 total(indirect: By LLC) - Other
Common Stock
2018-02-22+48,375→ 48,375 total
Footnotes (5)
- [F1]Mr. Katzman is the investment manager of Katzman Family LLC and has sole voting and investment power with respect to the shares held by Katzman Family LLC.
- [F2]Richard Katzman received 48,375 shares of Common Stock of the Issuer as result of stock transfer made by Forum Investors I, LLC on February 22, 2018.
- [F3]Richard Katzman received a warrant to purchase up to 7,500 shares of Common Stock of the Issuer as result of transfer made by Forum Investors I, LLC on February 22, 2018.
- [F4]The warrant will become exercisable 12 months from the closing of the Issuer's 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 Issuer, 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.