HOOPER HOLMES INC Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 6 rows, 6 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-05-22: Reporting owner Bazos Frank R; Form 3; Security Warrant (right to buy); Transaction Holding.
- 2017-05-22: Reporting owner Bazos Frank R; Form 3; Security Warrant (right to buy); Transaction Holding.
- 2017-05-22: Reporting owner Century Focused Fund III, L.P. | WH-HH Blocker Inc. | Fulkerson Davis R. | Sherwood David C | CCP Focused III, L.P. | WH-HH Holdings, LLC | CCP Focused III, LLC | Kline Charles L | Marquardt Stephen; Form 3; Security Warrant (right to buy); Transaction Holding.
- 2017-05-22: Reporting owner Century Focused Fund III, L.P. | WH-HH Blocker Inc. | Fulkerson Davis R. | Sherwood David C | CCP Focused III, L.P. | WH-HH Holdings, LLC | CCP Focused III, LLC | Kline Charles L | Marquardt Stephen; Form 3; Security Warrant (right to buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-05-22 holding as of filing | Bazos Frank R Director, 10% Owner | 3 | Warrant (right to buy) Derivative · Indirect · 0 | Holding | $0.61 exercise price | 2017-05-22 | ||
| 2017-05-22 holding as of filing | Bazos Frank R Director, 10% Owner | 3 | Warrant (right to buy) Derivative · Indirect · 0 | Holding | $1.35 exercise price | 2017-05-22 | ||
| 2017-05-22 holding as of filing | Century Focused Fund III, L.P. | WH-HH Blocker Inc. | Fulkerson Davis R. | Sherwood David C | CCP Focused III, L.P. | WH-HH Holdings, LLC | CCP Focused III, LLC | Kline Charles L | Marquardt Stephen 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (right to buy) Derivative · Indirect · 0 | Holding | $0.61 exercise price | 2017-05-22 | ||
| 2017-05-22 holding as of filing | Century Focused Fund III, L.P. | WH-HH Blocker Inc. | Fulkerson Davis R. | Sherwood David C | CCP Focused III, L.P. | WH-HH Holdings, LLC | CCP Focused III, LLC | Kline Charles L | Marquardt Stephen 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (right to buy) Derivative · Indirect · 0 | Holding | $1.35 exercise price | 2017-05-22 | ||
| 2017-05-11 | APRAHAMIAN RONALD V Director | 4 | Warrant (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +62,500 62,500 owned after | $1.35 exercise price | 2017-05-19 | |
| 2017-04-21 holding as of filing | PAPPAJOHN JOHN 10% Owner | 3 | Warrants (rights to buy) Derivative · Direct | Holding | $1.35 exercise price | 2017-04-21 |