CAREPAYMENT TECHNOLOGIES, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 32 rows, 32 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-01-31: Reporting owner Aequitas Catalyst Fund LLC | Aequitas Commercial Finance, LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas CarePayment Founders Fund, LLC | Aequitas Management LLC; Form 4; Security Series D Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2013-01-30: Reporting owner Aequitas Catalyst Fund LLC | Aequitas Commercial Finance, LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas CarePayment Founders Fund, LLC | Aequitas Management LLC; Form 4; Security Series D Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2013-01-30: Reporting owner Aequitas Catalyst Fund LLC | Aequitas Commercial Finance, LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas CarePayment Founders Fund, LLC | Aequitas Management LLC; Form 4; Security Series D Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2013-01-30: Reporting owner Aequitas Catalyst Fund LLC | Aequitas Commercial Finance, LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas CarePayment Founders Fund, LLC | Aequitas Management LLC; Form 4; Security Series D Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-01-31 | Aequitas Catalyst Fund LLC | Aequitas Commercial Finance, LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas CarePayment Founders Fund, LLC | Aequitas Management LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | C Conversion of derivative security | −399,137 0 owned after | $0.00 | 2013-02-06 | |
| 2013-01-30 | Aequitas Catalyst Fund LLC | Aequitas Commercial Finance, LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas CarePayment Founders Fund, LLC | Aequitas Management LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +94,358 132,101 owned after | $10.83 | 2013-02-06 | |
| 2013-01-30 | Aequitas Catalyst Fund LLC | Aequitas Commercial Finance, LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas CarePayment Founders Fund, LLC | Aequitas Management LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +47,179 179,280 owned after | $11.00 | 2013-02-06 | |
| 2013-01-30 | Aequitas Catalyst Fund LLC | Aequitas Commercial Finance, LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas CarePayment Founders Fund, LLC | Aequitas Management LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +1,887 181,167 owned after | $10.98 | 2013-02-06 | |
| 2013-01-30 | Aequitas Catalyst Fund LLC | Aequitas Commercial Finance, LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas CarePayment Founders Fund, LLC | Aequitas Management LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +23,590 204,757 owned after | $10.95 | 2013-02-06 | |
| 2013-01-30 | Aequitas Catalyst Fund LLC | Aequitas Commercial Finance, LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas CarePayment Founders Fund, LLC | Aequitas Management LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +944 205,701 owned after | $10.92 | 2013-02-06 | |
| 2013-01-30 | Aequitas Catalyst Fund LLC | Aequitas Commercial Finance, LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas CarePayment Founders Fund, LLC | Aequitas Management LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +9,436 215,137 owned after | $10.91 | 2013-02-06 | |
| 2013-01-30 | Aequitas Catalyst Fund LLC | Aequitas Commercial Finance, LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas CarePayment Founders Fund, LLC | Aequitas Management LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +94,358 309,495 owned after | $10.88 | 2013-02-06 | |
| 2013-01-30 | Aequitas Catalyst Fund LLC | Aequitas Commercial Finance, LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas CarePayment Founders Fund, LLC | Aequitas Management LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +23,590 333,085 owned after | $10.88 | 2013-02-06 | |
| 2013-01-30 | Aequitas Catalyst Fund LLC | Aequitas Commercial Finance, LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas CarePayment Founders Fund, LLC | Aequitas Management LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +23,590 356,675 owned after | $10.88 | 2013-02-06 | |
| 2013-01-30 | Aequitas Catalyst Fund LLC | Aequitas Commercial Finance, LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas CarePayment Founders Fund, LLC | Aequitas Management LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +9,436 366,111 owned after | $10.88 | 2013-02-06 | |
| 2013-01-30 | Aequitas Catalyst Fund LLC | Aequitas Commercial Finance, LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas CarePayment Founders Fund, LLC | Aequitas Management LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +9,436 375,547 owned after | $10.85 | 2013-02-06 | |
| 2013-01-30 | Aequitas Catalyst Fund LLC | Aequitas Commercial Finance, LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas CarePayment Founders Fund, LLC | Aequitas Management LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +23,590 399,137 owned after | $12.01 | 2013-02-06 | |
| 2013-01-08 | Aequitas Catalyst Fund LLC | Aequitas Commercial Finance, LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas CarePayment Founders Fund, LLC | Aequitas Management LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +37,743 37,743 owned after | $10.99 | 2013-02-06 | |
| 2012-12-31 | Aequitas Management LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas Commercial Finance, LLC | Aequitas Catalyst Fund LLC | Aequitas CarePayment Founders Fund, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas CarePayment Founders Fund, LLC | C Conversion of derivative security | −67,602 0 owned after | $0.00 | 2013-01-03 | |
| 2012-12-31 | Aequitas Management LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas Commercial Finance, LLC | Aequitas Catalyst Fund LLC | Aequitas CarePayment Founders Fund, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | C Conversion of derivative security | −723,022 0 owned after | $0.00 | 2013-01-03 | |
| 2012-12-31 | Aequitas Management LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas Commercial Finance, LLC | Aequitas Catalyst Fund LLC | Aequitas CarePayment Founders Fund, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Investment Management, LLC | C Conversion of derivative security | −96 0 owned after | $0.00 | 2013-01-03 | |
| 2012-12-27 | Aequitas Management LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas Commercial Finance, LLC | Aequitas Catalyst Fund LLC | Aequitas CarePayment Founders Fund, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +23,590 594,694 owned after | $10.80 | 2013-01-03 | |
| 2012-12-27 | Aequitas Management LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas Commercial Finance, LLC | Aequitas Catalyst Fund LLC | Aequitas CarePayment Founders Fund, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +23,590 618,284 owned after | $10.73 | 2013-01-03 | |
| 2012-12-27 | Aequitas Management LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas Commercial Finance, LLC | Aequitas Catalyst Fund LLC | Aequitas CarePayment Founders Fund, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +33,969 652,253 owned after | $10.96 | 2013-01-03 | |
| 2012-12-27 | Aequitas Management LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas Commercial Finance, LLC | Aequitas Catalyst Fund LLC | Aequitas CarePayment Founders Fund, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +47,179 699,432 owned after | $10.96 | 2013-01-03 | |
| 2012-12-27 | Aequitas Management LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas Commercial Finance, LLC | Aequitas Catalyst Fund LLC | Aequitas CarePayment Founders Fund, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +23,590 723,022 owned after | $10.76 | 2013-01-03 | |
| 2012-11-14 | Aequitas Management LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas Commercial Finance, LLC | Aequitas Catalyst Fund LLC | Aequitas CarePayment Founders Fund, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | P Open market or private purchase of non-derivative or derivative security | +23,590 571,104 owned after | $10.94 | 2013-01-03 | |
| 2012-06-30 | Aequitas Management LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas Commercial Finance, LLC | Aequitas Catalyst Fund LLC | Aequitas CarePayment Founders Fund, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas CarePayment Founders Fund, LLC | J Other acquisition or disposition (describe transaction) | −1,132,398 67,602 owned after | $0.00 | 2013-01-03 | |
| 2012-06-30 | Aequitas Management LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas Commercial Finance, LLC | Aequitas Catalyst Fund LLC | Aequitas CarePayment Founders Fund, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Commercial Finance, LLC | J Other acquisition or disposition (describe transaction) | +547,514 547,514 owned after | $0.00 | 2013-01-03 | |
| 2012-06-30 | Aequitas Management LLC | Aequitas Holdings, LLC | Aequitas Capital Management Inc. | Aequitas Commercial Finance, LLC | Aequitas Catalyst Fund LLC | Aequitas CarePayment Founders Fund, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas Investement Management, LLC | J Other acquisition or disposition (describe transaction) | +96 96 owned after | $0.00 | 2013-01-03 | |
| 2011-10-04 holding as of filing | Aequitas Management LLC | Aequitas Catalyst Fund LLC | Aequitas CarePayment Founders Fund, LLC | Aequitas Capital Management Inc. | Aequitas Holdings, LLC | Aequitas Commercial Finance, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · By Aequitas CarePayment Founders Fund, LLC | Holding | $1.00 exercise price | 2011-10-04 | ||
| 2006-08-17 | CRARY JOHN L Director | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −120,000 0 owned after | no price filed | 2006-12-13 | |
| 2006-08-17 | CRARY JOHN L Director | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −40,000 0 owned after | no price filed | 2006-12-13 | |
| 2006-08-17 | CRARY JOHN L Director | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −40,000 0 owned after | no price filed | 2006-12-13 | |
| 2006-08-17 | WILLIAMS JAMES MELVIN JR Director, 10% Owner | 4/A | Series B Preferred Stock Derivative · Indirect · By CTK Capital Corporation | C Conversion of derivative security | −350,000 0 owned after | no price filed | 2006-12-12 | |
| 2006-08-17 | RIXFORD TERRENCE A Director | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −50,000 0 owned after | no price filed | 2006-12-08 |