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ReposiTrak, Inc. — Director's Dealing 2015
Sep 1, 2015
33340_dirs_2015-09-01_c449e7e4-cddb-44ac-bad7-48ac194c29c8.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: PARK CITY GROUP INC (PCYG)
CIK: 0000050471
Period of Report: 2015-06-30
Reporting Person: FIELDS RANDALL K (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-12-31 | Common Stock | G | 105000 | — | Disposed | 3729228 | Direct |
| 2014-12-31 | Common Stock | A | 496 | $7.67 | Acquired | 3729228 | Direct |
| 2015-01-12 | Common Stock | G | 3121 | — | Disposed | 3729228 | Direct |
| 2015-01-12 | Common Stock | G | 15835 | — | Disposed | 3729228 | Direct |
| 2015-04-02 | Common Stock | G | 100000 | — | Disposed | 3729228 | Direct |
| 2015-06-30 | Common Stock | A | 512 | $7.62 | Acquired | 3729228 | Direct |
| 2014-12-31 | Common Stock | G | 105000 | — | Acquired | 205000 | Indirect |
| 2015-04-02 | Common Stock | G | 100000 | — | Acquired | 205000 | Indirect |
| 2015-02-05 | Series B Preferred Stock | J | 750 | $10 | Disposed | 14450 | Indirect |
| 2015-05-12 | Series B-1 Preferred Stock | A | 30000 | — | Acquired | 30000 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 650693 | Indirect |
| Common Stock | 30667 | Indirect |
| Common Stock | 1289230 | Indirect |
| Series B Preferred Stock | 531432 | Indirect |
| Series B-1 Preferred Stock | 38055 | Indirect |
| Series B-1 Preferred Stock | 657 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrant | $3.60 | 2018-03-14 | Common Stock (6875) | 6875 | Direct |
| Warrant | $10 | 2020-01-26 | Common Stock (3165) | 3165 | Direct |
| Warrants | $4 | 2020-02-05 | Common Stock (914065) | 914065 | Indirect |
| Warrants | $4 | 2020-02-05 | Common Stock (40250) | 40250 | Indirect |
Footnotes
F1: Shares gifted by the Reporting Person to Charitable 2010, LLC. The Reporting Person is a member of Charitable 2010, LLC and retain investment control over the gifted shares.
F2: Shares issued in lieu of cash compensation at a 15% discount to fair market value, pursuant to the Issuer's 2011 Employee Stock Purchase Plan.
F3: The reported shares of Series B Preferred Stock were redeemed by the Issuer, pursuant to the terms and conditions of the Second Amended and Restated Certificate of Designation of the Relative Rights, Powers and Preferences of the Issuer's Series B Preferred Stock.
F4: Shares issued as payment of a bonus granted to Fields Management, Inc., a management company wholly-owned by the Reporting Person ("FMI"), by the Compensation Committee of the Issuer's Board of Directors, pursuant to the Employment Agreement by and between the Issuer and FMI, dated June 30, 2013, pursuant to which the Reporting Person serves as the Issuer's Chief Executive Officer.