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AIRGAIN INC — Director's Dealing 2016
Aug 12, 2016
34579_dirs_2016-08-11_4fc3ab05-7eda-4369-8699-524b84bb8b20.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: AIRGAIN INC (AIRG)
CIK: 0001272842
Period of Report: 2016-08-11
Reporting Person: GEN3 Capital Partners, LLC (10% Owner)
Reporting Person: GEN3 Capital I L P (10% Owner)
Reporting Person: GEN 3 PARTNERS INC (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 217602 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A Preferred Stock | $ | Common Stock (27826) | Indirect | ||
| Series B Preferred Stock | $ | Common Stock (82416) | Indirect | ||
| Series C Preferred Stock | $ | Common Stock (39697) | Indirect | ||
| Series D Preferred Stock | $ | Common Stock (12309) | Indirect | ||
| Series E Preferred Stock | $ | Common Stock (157515) | Indirect | ||
| Series F Preferred Stock | $ | Common Stock (96899) | Indirect | ||
| Series G Preferred Stock | $ | Common Stock (383995) | Indirect | ||
| Dividend Right | $ | Common Stock (33972) | Indirect | ||
| Dividend Right | $ | Common Stock (351051) | Indirect |
Footnotes
F1: Represents 51,244 shares of common stock held by GEN3 Capital I, LP ("GEN3 Capital") and 166,358 shares of common stock held by Gen 3 Partners, Inc. ("Gen 3 Partners").
F2: The general partner of GEN3 Capital is GEN3 Capital Partners, LLC ("GEN3 LLC"), and Jim K. Sims is the Managing Member of of GEN3 LLC. As a result, each of GEN3 LLC and Mr. Sims may be deemed to share beneficil ownership of the shares held by GEN3 Capital. Mr. Sims, Francis X. Egan, Arthur M. Toscanini and Michael Treacy may be deemed to share beneficial ownership of the shares held by Gen 3 Partners in their capacity as directors of Gen 3 Partners. Each of the individuals and entities listed herein disclaims such beneficial ownership extent to the extent of his or its pecuniary interest therein.
F3: The preferred stock is convertible at any time, at the holder's election and has no expiration date. The preferred stock will automatically convert into common stock upon the closing of the Issuer's initial public offering.
F4: The dividend rights are payable in cash or shares of common stock at the Issuer's election immediately upon the closing of the Issuer's initial public offering.