Fusion Connect, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 32 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-12-01: Reporting owner DEL GIUDICE MICHAEL J; Form 4; Security Warrants; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-11-18: Reporting owner Rosen Marvin S; Form 4; Security Warrants; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-11-18: Reporting owner Turits Phillip; Form 4; Security Warrants; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-11-16: Reporting owner Turits Phillip; Form 4; Security Warrants; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-12-01 | DEL GIUDICE MICHAEL J Director | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,715 163,377 owned after | $0.17 | 2010-02-19 | |
| 2009-11-18 | Rosen Marvin S Director | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 2,323,475 owned after | $0.19 | 2009-12-01 | |
| 2009-11-18 | Turits Phillip Director, Officer (SECRETARY AND TREASURER) | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +243,750 2,057,525 owned after | $0.19 | 2009-12-01 | |
| 2009-11-16 | Turits Phillip Director, Officer (SECRETARY AND TREASURER) | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,556 1,813,775 owned after | $0.22 | 2009-12-01 | |
| 2009-11-13 | Brumberger E Alan Director | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +55,556 263,108 owned after | $0.22 | 2009-11-27 | |
| 2009-09-16 | Rosen Marvin S Director | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +208,334 2,080,618 owned after | $0.14 | 2009-09-22 | |
| 2009-09-16 | Turits Phillip Director, Officer (SECRETARY AND TREASURER) | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +208,334 1,808,219 owned after | $0.14 | 2009-09-22 | |
| 2009-08-31 | Rosen Marvin S Director | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +667,335 1,872,284 owned after | $0.11 | 2009-09-09 | |
| 2009-08-31 | Turits Phillip Director, Officer (SECRETARY AND TREASURER) | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +667,335 1,599,885 owned after | $0.11 | 2009-09-09 | |
| 2009-06-12 | Rosen Marvin S Director, Officer (CEO) | 4/A | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +95,551 1,204,949 owned after | $0.13 | 2009-09-09 | |
| 2009-06-12 | Rosen Marvin S Director, Officer (CEO) | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +95,551 11,204,949 owned after | $0.13 | 2009-06-19 | |
| 2009-06-11 | Brumberger E Alan Director | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +68,251 207,552 owned after | $0.13 | 2009-06-17 | |
| 2009-06-09 | Rosen Marvin S Director, Officer (CEO) | 4/A | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +37,538 1,109,398 owned after | $0.14 | 2009-09-09 | |
| 2009-06-09 | Turits Phillip Director, Officer (SECRETARY AND TREASURER) | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,538 932,550 owned after | $0.14 | 2009-06-19 | |
| 2009-06-09 | Rosen Marvin S Director, Officer (CEO) | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +37,538 1,109,398 owned after | $0.14 | 2009-06-19 | |
| 2009-04-14 | Turits Phillip Director, Officer (Secretary and Treasurer) | 4/A | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +62,563 895,012 owned after | $0.14 | 2009-06-19 | |
| 2009-04-14 | Turits Phillip Director, Officer (Secretary and Treasurer) | 4/A | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +62,563 895,012 owned after | $0.14 | 2009-05-05 | |
| 2009-04-14 | Rosen Marvin S Director | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +62,563 1,071,860 owned after | $0.14 | 2009-05-05 | |
| 2009-04-08 | Turits Phillip Director, Officer (Secretary and Treasurer) | 4/A | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +62,563 832,449 owned after | $0.14 | 2009-06-19 | |
| 2009-04-08 | Turits Phillip Director, Officer (Secretary and Treasurer) | 4/A | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +62,563 832,449 owned after | $0.14 | 2009-05-05 | |
| 2009-04-08 | Rosen Marvin S Director | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +62,563 1,009,297 owned after | $0.14 | 2009-05-05 | |
| 2009-02-23 | Turits Phillip Director, Officer (Secretary and Treasurer) | 4/A | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +58,824 744,326 owned after | $0.20 | 2009-06-19 | |
| 2009-02-23 | Turits Phillip Director, Officer (Secretary and Treasurer) | 4/A | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +58,824 769,886 owned after | $0.20 | 2009-05-05 | |
| 2009-02-23 | Rosen Marvin S Director | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +58,824 946,734 owned after | $0.20 | 2009-05-05 | |
| 2009-01-26 | Rosen Marvin S Director | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +82,354 887,910 owned after | $0.21 | 2009-01-29 | |
| 2009-01-26 | Turits Phillip Director, Officer (Secretary and Treasurer) | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +82,354 711,062 owned after | $0.21 | 2009-01-29 | |
| 2009-01-12 holding as of filing | Landberg William | West End Special Opportunity Fund II, LP | West End Financial Advisors LLC | West End Capital Management LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to purchase common stock Derivative · Direct | Holding | $0.35 exercise price | 2009-01-12 | ||
| 2009-01-12 holding as of filing | Landberg William | West End Special Opportunity Fund II, LP | West End Financial Advisors LLC | West End Capital Management LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to purchase common stock Derivative · Direct | Holding | $0.36 exercise price | 2009-01-12 | ||
| 2009-01-12 holding as of filing | Landberg William | West End Special Opportunity Fund II, LP | West End Financial Advisors LLC | West End Capital Management LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to purchase common stock Derivative · Direct | Holding | $0.22 exercise price | 2009-01-12 | ||
| 2009-01-12 holding as of filing | West End Capital Management LLC | West End Financial Advisors LLC | West End Special Opportunity Fund II, LP | Landberg William 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Warrant to purchase common stock Derivative · Direct | Holding | 86,207 owned after | $0.35 exercise price | 2009-01-12 | |
| 2009-01-12 holding as of filing | West End Capital Management LLC | West End Financial Advisors LLC | West End Special Opportunity Fund II, LP | Landberg William 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Warrant to purchase common stock Derivative · Direct | Holding | 166,667 owned after | $0.36 exercise price | 2009-01-12 | |
| 2009-01-12 holding as of filing | West End Capital Management LLC | West End Financial Advisors LLC | West End Special Opportunity Fund II, LP | Landberg William 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Warrant to purchase common stock Derivative · Direct | Holding | 888,890 owned after | $0.22 exercise price | 2009-01-12 |