RLJ ENTERTAINMENT, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 37 rows, 37 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-10-31: Reporting owner Sudbury Capital Fund, LP; Form 4; Security Series C-2 Convertible Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2018-10-31: Reporting owner Sudbury Capital Fund, LP; Form 4; Security Series D-1 Convertible Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2018-10-31: Reporting owner Dayton Judd; Form 4; Security Series C-2 Convertible Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2018-10-31: Reporting owner Dayton Judd; Form 4; Security Series D-1 Convertible Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-10-31 | Sudbury Capital Fund, LP 10% Owner | 4 | Series C-2 Convertible Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −2,000 0 owned after | $3.00 exercise price | 2018-11-01 | |
| 2018-10-31 | Sudbury Capital Fund, LP 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −184 0 owned after | $3.00 exercise price | 2018-11-01 | |
| 2018-10-31 | Dayton Judd Director | 4 | Series C-2 Convertible Preferred Stock Derivative · Indirect · By Sudbury Capital Fund, LP | J Other acquisition or disposition (describe transaction) | −2,000 0 owned after | $3.00 exercise price | 2018-11-01 | |
| 2018-10-31 | Dayton Judd Director | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · By Sudbury Capital Fund, LP | J Other acquisition or disposition (describe transaction) | −184 0 owned after | $3.00 exercise price | 2018-11-01 | |
| 2018-01-05 | JH Evergreen Management, LLC 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · By JH Partners Evergreen Fund, L.P. | S Open market or private sale of non-derivative or derivative security | −5,618 0 owned after | $1,644.27 | 2018-01-09 | |
| 2018-01-05 | JH Evergreen Management, LLC 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · By Forrestal, LLC | S Open market or private sale of non-derivative or derivative security | −752 0 owned after | $1,644.27 | 2018-01-09 | |
| 2018-01-05 | JH Evergreen Management, LLC 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · By JH Investment Partners III, L.P. | S Open market or private sale of non-derivative or derivative security | −760 0 owned after | $1,644.27 | 2018-01-09 | |
| 2018-01-05 | JH Evergreen Management, LLC 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · By JH Investment Partners GP Fund III, LLC | S Open market or private sale of non-derivative or derivative security | −349 0 owned after | $1,644.27 | 2018-01-09 | |
| 2018-01-05 | AMC Networks Inc. 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · By Subsidiary | J Other acquisition or disposition (describe transaction) | +7,479 7,479 owned after | $1,644.27 | 2018-01-08 | |
| 2017-06-20 | RLJ SPAC Acquisition, LLC 10% Owner | 4 | Series D-2 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −15,000 0 owned after | $3.00 exercise price | 2017-06-20 | |
| 2016-10-14 | Gust Christopher | Bellick Robert | WOLVERINE ASSET MANAGEMENT LLC | Wolverine Holdings, L.P. | Wolverine Trading Partners, Inc. Director | Director | Director | Director | Director | 4 | Series A-1 Convertible Preferred Stock Holding Derivative · Indirect · See footnotes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,000 0 owned after | $3.00 exercise price | 2016-10-19 | |
| 2016-10-14 | Gust Christopher | Bellick Robert | WOLVERINE ASSET MANAGEMENT LLC | Wolverine Holdings, L.P. | Wolverine Trading Partners, Inc. Director | Director | Director | Director | Director | 4 | Series C-1 Convertible Preferred Stock Derivative · Indirect · See footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $3.00 exercise price | 2016-10-19 | |
| 2016-10-14 | Dayton Judd Director | 4 | Series A-2 Convertible Preferred Stock Derivative · Indirect · By Sudbury Capital Fund, LP | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,000 0 owned after | $3.00 exercise price | 2016-10-18 | |
| 2016-10-14 | Dayton Judd Director | 4 | Series C-2 Convertible Preferred Stock Derivative · Indirect · By Sudbury Capital Fund, LP | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $3.00 exercise price | 2016-10-18 | |
| 2016-10-14 | Dayton Judd Director | 4 | Series B-1 Convertible Preferred Stock Derivative · Indirect · By Sudbury Capital Fund, LP | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −184 0 owned after | $3.00 exercise price | 2016-10-18 | |
| 2016-10-14 | Dayton Judd Director | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · By Sudbury Capital Fund, LP | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +184 184 owned after | $3.00 exercise price | 2016-10-18 | |
| 2016-10-14 | Sudbury Capital Fund, LP 10% Owner | 4 | Series A-2 Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,000 0 owned after | $3.00 exercise price | 2016-10-18 | |
| 2016-10-14 | Sudbury Capital Fund, LP 10% Owner | 4 | Series C-2 Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $3.00 exercise price | 2016-10-18 | |
| 2016-10-14 | Sudbury Capital Fund, LP 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −184 0 owned after | $3.00 exercise price | 2016-10-18 | |
| 2016-10-14 | Sudbury Capital Fund, LP 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +184 184 owned after | $3.00 exercise price | 2016-10-18 | |
| 2016-10-14 | JOHNSON ROBERT L Director, Officer (Chairman of the Board) | 4 | Series B-2 Convertible Preferred Stock Derivative · Indirect · By RLJ SPAC Acquisition, LLC | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,000 0 owned after | $3.00 exercise price | 2016-10-18 | |
| 2016-10-14 | JOHNSON ROBERT L Director, Officer (Chairman of the Board) | 4 | Series D-2 Convertible Preferred Stock Derivative · Indirect · By RLJ SPAC Acquisition, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $3.00 exercise price | 2016-10-18 | |
| 2016-10-14 | RLJ SPAC Acquisition, LLC 10% Owner | 4 | Series B-2 Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,000 0 owned after | $3.00 exercise price | 2016-10-18 | |
| 2016-10-14 | RLJ SPAC Acquisition, LLC 10% Owner | 4 | Series D-2 Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $3.00 exercise price | 2016-10-18 | |
| 2016-09-02 | Dayton Judd Director | 4 | Series B-1 Convertible Preferred Stock Derivative · Indirect · By Sudbury Capital Fund, LP | P Open market or private purchase of non-derivative or derivative security | +184 184 owned after | $812.47 | 2016-09-07 | |
| 2016-09-02 | Sudbury Capital Fund, LP 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +184 184 owned after | $812.47 | 2016-09-07 | |
| 2015-06-01 holding as of filing | WOLVERINE ASSET MANAGEMENT LLC | Wolverine Trading Partners, Inc. | Bellick Robert | Gust Christopher | Wolverine Holdings, L.P. Director | Director | Director | Director | Director | 3 | Series A-1 Convertible Preferred Stock Derivative · Indirect · See footnotes | Holding | $1.00 exercise price | 2015-06-01 | ||
| 2015-06-01 holding as of filing | Dayton Judd Director | 3 | Series A-2 Convertible Preferred Stock Derivative · Indirect · By Sudbury Capital Fund, LP | Holding | $1.00 exercise price | 2015-06-01 | ||
| 2015-06-01 holding as of filing | Sudbury Capital Fund, LP 10% Owner | 3/A | Series A-2 Convertible Preferred Stock Derivative · Direct | Holding | $1.00 exercise price | 2015-06-01 | ||
| 2015-05-20 | JH Evergreen Management, LLC 10% Owner | 4/A | Series B-1 Convertible Preferred Stock Derivative · Indirect · By JH Partners Evergreen Fund, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,618,282 5,618 owned after | $5,618,282.00 | 2015-05-26 | |
| 2015-05-20 | JH Evergreen Management, LLC 10% Owner | 4/A | Series B-1 Convertible Preferred Stock Derivative · Indirect · By JH Partners III, Fund, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +759,854 760 owned after | $759,854.00 | 2015-05-26 | |
| 2015-05-20 | JH Evergreen Management, LLC 10% Owner | 4/A | Series B-1 Convertible Preferred Stock Derivative · Indirect · By JH Partners GP III, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +349,175 349 owned after | $349,175.00 | 2015-05-26 | |
| 2015-05-20 | JH Evergreen Management, LLC 10% Owner | 4/A | Series B-1 Convertible Preferred Stock Derivative · Indirect · By Forrestal, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +752,121 752 owned after | $752,121.00 | 2015-05-26 | |
| 2015-05-20 | JOHNSON ROBERT L Director, Officer (Chairman of the Board), 10% Owner | 4 | Series B-2 Convertible Preferred Stock Derivative · Indirect · By RLJ SPAC Acquisition LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $15,000,000.00 | 2015-05-22 | |
| 2015-05-20 | RLJ SPAC Acquisition, LLC 10% Owner | 4 | Series B-2 Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $15,000,000.00 | 2015-05-22 | |
| 2015-05-20 | GOLDFARB MORRIS Director | 4 | Series B-2 Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000 1,000 owned after | $1,000,000.00 | 2015-05-22 | |
| 2015-05-20 | EDWARDS PETER Director | 4 | Series B-2 Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500 500 owned after | $500,000.00 | 2015-05-22 |