Fusion Connect, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 33 rows, 33 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-05-04: Reporting owner Rubin William David; Form 4; Security Preferred Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-05-04: Reporting owner Turits Phillip; Form 4; Security Preferred Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-05-04: Reporting owner OBrien Paul C; Form 4; Security Preferred Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-05-04: Reporting owner Rosen Matthew D; Form 4; Security Preferred; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-05-04 | Rubin William David Director | 4 | Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −200 0 owned after | $0.00 | 2018-05-08 | |
| 2018-05-04 | Turits Phillip Director, Officer (Corporate Secretary) | 4 | Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −60 0 owned after | $0.00 | 2018-05-08 | |
| 2018-05-04 | OBrien Paul C Director | 4 | Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −150 0 owned after | $0.00 | 2018-05-08 | |
| 2018-05-04 | Rosen Matthew D Director, Officer (Chairman and CEO) | 4 | Preferred Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −131 0 owned after | $0.00 | 2018-05-08 | |
| 2018-05-04 | DEL GIUDICE MICHAEL J Director | 4 | Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −280 0 owned after | $0.00 | 2018-05-08 | |
| 2018-05-04 | Rosen Marvin S Director | 4 | Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −797 0 owned after | $0.00 | 2018-05-08 | |
| 2018-05-04 | BLUM LAWRENCE H Director | 4 | Preferred Stock Derivative · Indirect · see footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −33 0 owned after | $0.00 | 2018-05-08 | |
| 2018-05-04 | Rosen Jack Director | 4 | Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −400 0 owned after | $0.00 | 2018-05-08 | |
| 2018-05-04 | Hutchins Gordon Jr. Officer (President) | 4 | Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25 0 owned after | $0.00 | 2018-05-08 | |
| 2015-06-25 holding as of filing | BLUM LAWRENCE H Director | 3 | Series B-2 Preferred Shares Derivative · Indirect · (m) | Holding | $5.00 exercise price | 2015-06-25 | ||
| 2014-09-18 holding as of filing | Turits Phillip Director, Officer (Treasurer and Secretary) | 4 | Series A-1 Preferred Stock Derivative · Direct | Holding | 0 owned after | $82.50 exercise price | 2014-09-18 | |
| 2014-09-18 holding as of filing | Turits Phillip Director, Officer (Treasurer and Secretary) | 4 | Series A-2 Preferred Stock Derivative · Direct | Holding | 0 owned after | $41.50 exercise price | 2014-09-18 | |
| 2014-09-18 holding as of filing | Turits Phillip Director, Officer (Treasurer and Secretary) | 4 | Series B-2 Preferred Stock Derivative · Direct | Holding | 0 owned after | $6.25 exercise price | 2014-09-18 | |
| 2013-12-31 | Unterberg Capital LLC 10% Owner | 4 | Series B-2 Senior cumulative convertible preferred stock Derivative · Direct | C Conversion of derivative security | −5,000 5,000 owned after | $1,000.00 | 2016-02-12 | |
| 2013-12-31 | Unterberg Capital LLC 10% Owner | 4 | Series B-2 Senior cumulative convertible preferred stock Derivative · Direct | C Conversion of derivative security | +5,000 5,000 owned after | $1,000.00 | 2016-01-22 | |
| 2013-12-31 | OBrien Paul C Director | 4 | B2 Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +50 50 owned after | $1,000.00 | 2014-01-09 | |
| 2013-12-31 | Brumberger E Alan Director | 4 | B-2 Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100 100 owned after | $1,000.00 | 2014-01-09 | |
| 2013-12-31 | Brumberger E Alan Director | 4 | B-2 Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100 100 owned after | $1,000.00 | 2014-01-09 | |
| 2013-12-31 | Rubin William David Director | 4 | B-2 Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +200 200 owned after | $1,000.00 | 2014-01-09 | |
| 2013-12-31 | Turits Phillip Director, Officer (Treasurer) | 4 | B-2 Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2 20,000 owned after | $1,000.00 | 2014-01-08 | |
| 2013-12-31 | Rosen Mathew D Officer (Chief Executive Officer) | 4 | B-2 Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +50 50 owned after | $1,000.00 | 2014-01-08 | |
| 2013-12-31 | Rosen Marvin S Director, 10% Owner | 4 | B-2 Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,000 2,000 owned after | $1,000.00 | 2014-01-08 | |
| 2013-09-30 | Rosen Jack Director | 4 | B-1 Preferred Stock Derivative · Indirect · See footnote 1 | C Conversion of derivative security | −250 0 owned after | $1,000.00 | 2013-11-20 | |
| 2013-03-25 | Rosen Marvin S Director, 10% Owner | 4 | B-1 Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100 772 owned after | $1,000.00 | 2013-03-27 | |
| 2012-10-24 | Rosen Mathew D Officer (Chief Executive Officer) | 4 | Series B-1 Senior Cumulative Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100 100 owned after | $1,000.00 | 2012-12-07 | |
| 2012-10-24 | Rosen Marvin S Director, 10% Owner | 4 | Series B-1 Senior Cumulative Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +724 724 owned after | $1,000.00 | 2012-12-07 | |
| 2012-10-22 | Rosen Jack Director | 4 | B-1 Preferred Stock Derivative · Indirect · See Footnote 1 | P Open market or private purchase of non-derivative or derivative security | +250 250 owned after | $1,000.00 | 2013-11-20 | |
| 2012-10-22 | Turits Phillip Director | 4 | B-1 Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5 5 owned after | $1,000.00 | 2013-04-11 | |
| 2012-08-17 holding as of filing | Rosen Jack Director | 3 | Series A-1 Preferred Stock Non-derivative · Indirect · (m) | Holding | 200 owned after | no price filed | 2012-08-17 | |
| 2012-08-17 holding as of filing | Rosen Jack Director | 3 | Series A-2 Preferred Stock Non-derivative · Indirect · (m) | Holding | 50 owned after | no price filed | 2012-08-17 | |
| 2007-05-09 | SARRO JAN Officer (EVP, Marketing and Bus. Dev.) | 4 | Series A Preferred Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +10 0 owned after | $41.50 exercise price | 2015-06-03 | |
| 2007-05-09 | Hochberg Fred P Director | 4 | Series A-2 Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +25 81,703 owned after | $1,000.00 | 2007-05-11 | |
| 2007-05-09 | Rosen Marvin S | 4 | Series A-2 Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +25 2,268,834 owned after | $1,000.00 | 2007-05-11 |