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CREATIVE REALITIES, INC. — Director's Dealing 2019
Jan 3, 2019
34876_dirs_2019-01-03_e158a053-0392-4600-83a4-c593a26d1f67.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CREATIVE REALITIES, INC. (CREX)
CIK: 0001356093
Period of Report: 2018-11-14
Reporting Person: Manko Joseph M. Jr. (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-11-15 | Common Stock | P | 142850 | $3.50 | Acquired | 308923 | Indirect |
| 2018-11-15 | Common Stock | C | 116118 | $7.65 | Acquired | 425041 | Indirect |
| 2018-11-19 | Common Stock | J | 204220 | — | Acquired | 629261 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-11-15 | Warrant | $4.375 | P | 71425 | Acquired | 2023-11-14 | Common Stock (71425) | Indirect |
| 2018-11-15 | Series A Preferred Stock | $7.65 | C | 116118 | Disposed | Common Stock (116118) | Indirect | |
| 2018-11-19 | Warrant | $4.20 | J | 158625 | Acquired | 2023-11-19 | Common Stock (158625) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 0 | Direct |
Footnotes
F1: Common Stock and Warrants purchased together at $3.50 per share with 50% warrant coverage.
F2: Pursuant to investment management agreements, Horton Capital Management, LLC ("HCM") maintains investment and voting power with respect to shares of common stock of the issuer held by HCPF. However, despite the delegation of investment and voting power to HCM, Horton Capital Partners, LLC ("HCP") may be deemed to be the beneficial owner of such securities under Rule 13d-3 of the Securities Exchange Act of 1934, as amended, because HCP has the right to acquire investment and voting power through termination of investment management agreements with HCM. HCP is the general partner of HCPF. Mr. Manko is the managing member of both HCM and HCP.
F3: Common Stock and Warrants received as one-time incentives in connection with signing a lock-up agreement in connection with, and participation in, the Issuer's public offering. This also includes common stock issued in connection with the final dividend payment.
F4: Currently exercisable
F5: No expiration date