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4//SEC Filing

Viggle Inc. 4

Accession 0001354488-15-002088

CIK 0000725876operating
View on SEC.govCompany Profile

Filed

May 4, 8:00 PM ET

Accepted

May 5, 4:00 PM ET

Size

22.8 KB

Accession

0001354488-15-002088

Insider Transaction Report

Form 4
Period: 2015-05-01
Viggle Inc.VGGL
SILLERMAN ROBERT F X
DirectorExec Chair and Chief Exec Off10% Owner
Transactions
  • Exercise/Conversion

    Restricted Stock Unit

    2015-05-01−31,018→ 124,072 total
    → Common Stock (31,018 underlying)
  • Exercise/Conversion

    Common Stock

    2015-05-01+31,018→ 37,268 total
Holdings

  • Common Stock

    (indirect: See footnote)
    8,230,623

  • Warrants (right to buy)

    (indirect: See footnote)
    Exercise: $3.51From: 2014-10-24Exp: 2019-10-24→ Common Stock (225,000 underlying)
    225,000

  • Warrants (right to buy)

    (indirect: See footnote)
    Exercise: $2.98From: 2014-11-25Exp: 2019-11-25→ Common Stock (150,000 underlying)
    150,000

  • Warrants (right to buy)

    (indirect: See footnote)
    Exercise: $3.63From: 2014-12-15Exp: 2019-12-15→ Common Stock (775,000 underlying)
    775,000

  • Warrants (right to buy)

    (indirect: See footnote)
    Exercise: $55.20From: 2013-09-16Exp: 2018-09-18→ Common Stock (62,500 underlying)
    62,500

  • Warrants (right to buy)

    (indirect: See footnote)
    Exercise: $80.00→ Common Stock (175,563 underlying)
    175,563

  • Warrants (right to buy)

    (indirect: See footnote)
    Exercise: $1.78→ Common Stock (350,000 underlying)
    350,000

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    Exercise: $4.00→ Common Stock (2,500,000 underlying)
    10,000

  • Warrants (right to buy)

    Exercise: $80.00From: 2013-03-11Exp: 2018-03-11→ Common Stock (125,000 underlying)
    125,000

  • Restricted Stock Unit

    → Common Stock (6,250 underlying)
    6,250
Footnotes (12)
  • [F1]Held by Sillerman Investment Company III LLC (?SIC III?), of which the Reporting Person is the manager and sole member.
  • [F10]Restricted stock units in respect of 6,250 shares of Common Stock granted pursuant to the Company?s 2011 Executive Incentive Plan. These restricted stock units will vest on February 24, 2016. Each restricted stock unit represents the right to receive, at settlement, one (1) share of common stock.
  • [F11]Restricted stock units in respect of 155,090 shares of Common Stock granted pursuant to the Company?s 2011 Executive Incentive Plan. These restricted stock units vested as to 31,018 shares on May 1, 2015 and an additional 31,018 shares will vest on each of May 1, 2016, May 1, 2017, May 1, 2018 and May 1, 2019. Each restricted stock unit represents the right to receive, at settlement, one (1) share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.
  • [F12]The grant and vesting of these units are exempt from the provisions of Section 16(b) pursuant to Rule 16b-3 thereunder.
  • [F2]Warrants to purchase 350,000 shares of common stock, par value $0.001 per share of the Issuer at an exercise price of $1.78 per share issued to SIC III in connection with SIC III?s purchase of 7,000 shares of Series C Convertible Preferred Stock. The warrants will expire five years after issuance.
  • [F3]SIC III purchased 10,000 shares of the Issuer?s Series C Convertible Preferred Stock at a price of $1,000 per share. Each share has a stated value of $1,000, and is convertible into common stock at a conversion price of $4 per share. Therefore, the 10,000 shares of Series C Convertible Preferred Stock are convertible into 2,500,000 shares of the Issuer?s common stock. Such shares are convertible upon issuance and for a period of five years thereafter.
  • [F4]Warrants previously acquired by SIC III, exercisable at $3.51 per share.
  • [F5]Warrants previously acquired by SIC III, exercisable at $2.98 per share.
  • [F6]Warrants previously acquired by SIC III, exercisable at $3.63 per share.
  • [F7]Warrants previously acquired by the Reporting Person, exercisable at $80.00 per share.
  • [F8]Warrants previously acquired by Sillerman Investment Company II, LLC (?SIC II?), of which the Reporting Person is the manager and sole member, exercisable at $55.20 per share.
  • [F9]Warrants previously acquired by SIC II, of which the Reporting Person is the manager and sole member, exercisable at $80.00 per share.

Documents

1 file

Issuer

Viggle Inc.

CIK 0000725876

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0000725876

Filing Metadata

Form type
4
Filed
May 4, 8:00 PM ET
Accepted
May 5, 4:00 PM ET
Size
22.8 KB
View on SEC.gov