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SOUNDTHINKING, INC. — Director's Dealing 2017
Jun 12, 2017
33907_dirs_2017-06-12_937cc427-16a6-4e0f-9fa4-f194dbdeebde.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SHOTSPOTTER, INC (SSTI)
CIK: 0001351636
Period of Report: 2017-06-12
Reporting Person: Groos Thomas T. (Director, 10% Owner)
Reporting Person: RT Groos, LLC (10% Owner)
Reporting Person: Thomas T. Groos Revocable Trust (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-06-12 | Common Stock | C | 855 | $0.00 | Acquired | 1984 | Direct |
| 2017-06-12 | Common Stock | C | 845 | $0.00 | Acquired | 845 | Indirect |
| 2017-06-12 | Common Stock | C | 61670 | $0.00 | Acquired | 62515 | Indirect |
| 2017-06-12 | Common Stock | C | 62857 | $0.00 | Acquired | 190648 | Indirect |
| 2017-06-12 | Common Stock | C | 327728 | $0.00 | Acquired | 518376 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-06-12 | Series A-2 Preferred Stock | $ | C | 1129 | Disposed | Common Stock (855) | Direct | |
| 2017-06-12 | Series A-2 Preferred Stock | $ | C | 1182 | Disposed | Common Stock (845) | Indirect | |
| 2017-06-12 | Series B-1 Preferred Stock | $ | C | 61670 | Disposed | Common Stock (61670) | Indirect | |
| 2017-06-12 | Series A-2 Preferred Stock | $ | C | 87845 | Disposed | Common Stock (62857) | Indirect | |
| 2017-06-12 | Series B-1 Preferred Stock | $ | C | 327728 | Disposed | Common Stock (327728) | Indirect | |
| 2017-06-12 | Warrant (Right to Buy) | $ | C | 11703 | Acquired | 2021-02-13 | Common Stock (11703) | Indirect |
| 2017-06-12 | Warrant (Right to Buy) | $ | C | 39012 | Acquired | 2021-02-13 | Common Stock (39012) | Indirect |
| 2017-06-12 | Warrant (Right to Buy) | $ | C | 2270 | Acquired | 2019-07-12 | Common Stock (2270) | Indirect |
| 2017-06-12 | Warrant (Right to Buy) | $ | C | 869 | Acquired | 2019-07-12 | Common Stock (869) | Indirect |
Footnotes
F1: Shares held directly by The Thomas T. Groos Revocable Trust, over which Thomas T. Groos holds voting and dispositive power.
F2: Shares held directly by RT Groos, LLC, over which Thomas T. Groos holds voting and dispositive power.
F3: Each share of Series A-2 Preferred Stock automatically converted into 0.715548 shares of Common Stock upon the closing of the Issuer's initial public offering of Common Stock and has no expiration date.
F4: Inapplicable.
F5: Each share of Series B-1 Preferred Stock automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering of Common Stock and has no expiration date.
F6: Right has converted from right to buy Series B-1 Preferred Stock to right to buy Common Stock.
F7: Immediate.