ZIX CORP Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 5 rows, 5 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-12-22: Reporting owner True Wind Capital GP, LLC | ZEPHYR HOLDCO, LLC | True Wind Capital, L.P. | GREENE JAMES H JR | CLAMMER ADAM; Form 4; Security Series A Convertible Preferred Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-06-05: Reporting owner True Wind Capital, L.P. | GREENE JAMES H JR | True Wind Capital GP, LLC | CLAMMER ADAM | ZEPHYR HOLDCO, LLC; Form 4; Security Series B Convertible Preferred Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-06-05: Reporting owner True Wind Capital, L.P. | GREENE JAMES H JR | True Wind Capital GP, LLC | CLAMMER ADAM | ZEPHYR HOLDCO, LLC; Form 4; Security Series A Convertible Preferred Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-02-22: Reporting owner CLAMMER ADAM | True Wind Capital GP, LLC | ZEPHYR HOLDCO, LLC | True Wind Capital, L.P. | GREENE JAMES H JR; Form 3; Security Series B Convertible Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-12-22 | True Wind Capital GP, LLC | ZEPHYR HOLDCO, LLC | True Wind Capital, L.P. | GREENE JAMES H JR | CLAMMER ADAM 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −100,206 0 owned after | $6.02 exercise price | 2021-12-23 | |
| 2019-06-05 | True Wind Capital, L.P. | GREENE JAMES H JR | True Wind Capital GP, LLC | CLAMMER ADAM | ZEPHYR HOLDCO, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,086 0 owned after | $6.02 exercise price | 2019-06-07 | |
| 2019-06-05 | True Wind Capital, L.P. | GREENE JAMES H JR | True Wind Capital GP, LLC | CLAMMER ADAM | ZEPHYR HOLDCO, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +35,292 100,206 owned after | $6.02 exercise price | 2019-06-07 | |
| 2019-02-22 holding as of filing | CLAMMER ADAM | True Wind Capital GP, LLC | ZEPHYR HOLDCO, LLC | True Wind Capital, L.P. | GREENE JAMES H JR Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | Series B Convertible Preferred Stock Non-derivative · Direct | Holding | 35,086 owned after | no price filed | 2019-02-22 | |
| 2019-02-22 holding as of filing | CLAMMER ADAM | True Wind Capital GP, LLC | ZEPHYR HOLDCO, LLC | True Wind Capital, L.P. | GREENE JAMES H JR Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | $6.02 exercise price | 2019-02-22 |