Fusion Connect, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 17 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-31: Reporting owner Unterberg Capital LLC; Form 4; Security Fusion Telecom $6.25 warrants; Transaction C Conversion of derivative security.
- 2013-12-31: Reporting owner OBrien Paul C; Form 4; Security Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2013-12-31: Reporting owner Brumberger E Alan; Form 4; Security Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2013-12-31: Reporting owner Brumberger E Alan; Form 4; Security Warrant; 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 |
|---|---|---|---|---|---|---|---|---|
| 2013-12-31 | Unterberg Capital LLC 10% Owner | 4 | Fusion Telecom $6.25 warrants Derivative · Direct | C Conversion of derivative security | +320,000 320,000 owned after | $6.25 exercise price | 2016-01-22 | |
| 2013-12-31 | OBrien Paul C Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +160,000 191,275 owned after | $0.13 exercise price | 2014-01-09 | |
| 2013-12-31 | Brumberger E Alan Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +320,000 973,582 owned after | $0.13 exercise price | 2014-01-09 | |
| 2013-12-31 | Brumberger E Alan Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +320,000 973,582 owned after | $0.13 exercise price | 2014-01-09 | |
| 2013-12-31 | Rubin William David Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +640,000 2,206,313 owned after | $0.13 exercise price | 2014-01-09 | |
| 2013-12-31 | Turits Phillip Director, Officer (Treasurer) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +6,400 2,058,435 owned after | $0.13 exercise price | 2014-01-08 | |
| 2013-12-31 | Rosen Mathew D Officer (Chief Executive Officer) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +160,000 722,711 owned after | $0.13 exercise price | 2014-01-08 | |
| 2013-12-31 | Rosen Marvin S Director, 10% Owner | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +6,400,000 20,667,672 owned after | $0.13 exercise price | 2014-01-08 | |
| 2013-09-27 | Rosen Marvin S Director, 10% Owner | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +987,167 14,267,672 owned after | $0.13 exercise price | 2013-09-30 | |
| 2013-08-29 | Rosen Marvin S Director, 10% Owner | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +862,069 13,280,505 owned after | $0.11 exercise price | 2013-09-03 | |
| 2013-08-29 | Rosen Mathew D Director, Officer (Chief Executive Officer) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +574,713 1,137,424 owned after | $0.11 exercise price | 2013-09-03 | |
| 2013-07-01 | Turits Phillip Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +38,119 2,052,035 owned after | $0.09 exercise price | 2013-07-02 | |
| 2013-07-01 | Rosen Marvin S Director, 10% Owner | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 12,418,436 owned after | $0.09 exercise price | 2013-07-02 | |
| 2013-05-31 | Rosen Marvin S Director, 10% Owner | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 11,088,648 owned after | $0.11 exercise price | 2013-07-02 | |
| 2013-05-31 | Rosen Mathew D Officer (Chief Executive Officer) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 562,711 owned after | $0.11 exercise price | 2013-07-02 | |
| 2013-03-28 | Rosen Marvin S Director, 10% Owner | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +787,154 9,947,095 owned after | $0.10 exercise price | 2013-04-01 | |
| 2013-03-25 | Rosen Marvin S Director, 10% Owner | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +366,301 9,159,941 owned after | $0.14 | 2013-03-27 |