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ReposiTrak, Inc. — Director's Dealing 2017
Oct 26, 2017
33340_dirs_2017-10-26_cac0d733-4268-4e66-8c2f-30ffdb7945fa.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: 2017-06-30
Reporting Person: FIELDS RANDALL K (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-07-05 | Common Stock | A | 554 | $7.62 | Acquired | 3698056 | Direct |
| 2016-12-30 | Common Stock | G | 2074 | — | Disposed | 3698056 | Direct |
| 2017-01-18 | Common Stock | A | 586 | $7.76 | Acquired | 3698056 | Direct |
| 2017-01-25 | Common Stock | G | 12258 | — | Disposed | 3698056 | Direct |
| 2017-03-01 | Common Stock | G | 1976 | — | Disposed | 3698056 | Direct |
| 2016-07-05 | Series B-1 Preferred Stock | A | 10000 | — | Acquired | 115788 | Indirect |
| 2017-03-31 | Series B-1 Preferred Stock | A | 20000 | — | Acquired | 115788 | 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 Preferred Stock | 14450 | Indirect |
| Common Stock | 205000 | Indirect |
| Series B-1 Preferred Stock | 147370 | 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 |
| Warrant | $4 | 2020-02-05 | Common Stock (40250) | 40250 | Indirect |
Footnotes
F1: 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.
F2: Includes 5,157 unvested shares of common stock.
F3: 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.
F4: Amount includes shares of Series B-1 Preferred issued to the Reporting Person during the year ended June 30, 2017 as payment-in-kind of accrued dividends.
F5: Includes 771,587 unvested shares of common stock.