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CREATIVE REALITIES, INC. 4

Accession 0001179110-17-005897

$CREXCIK 0001356093operating
View on SEC.govCompany Profile

Filed

Apr 9, 8:00 PM ET

Accepted

Apr 10, 1:56 PM ET

Size

26.1 KB

Accession

0001179110-17-005897

Insider Transaction Report

Form 4
Period: 2016-12-13
CREATIVE REALITIES, INC.CREX
COGUT CRAIG M
10% Owner
Transactions
  • Purchase

    Secured Convertible Promissory Note

    2016-12-26$680000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-26Exp: 2017-04-15→ Common Stock (2,185,990 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2017-01-12$565000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2017-01-12Exp: 2017-04-15→ Common Stock (1,823,354 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2016-12-13$2421472.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-13Exp: 2017-04-15→ Common Stock (8,063,911 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2016-12-15$53000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-15Exp: 2017-04-15→ Common Stock (180,231 underlying)
Holdings

  • Common Stock

    (indirect: See footnotes)
    28,570,934
PP IV BSH, LLC
10% Owner
Transactions
  • Purchase

    Secured Convertible Promissory Note

    2016-12-26$680000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-26Exp: 2017-04-15→ Common Stock (2,185,990 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2016-12-13$2421472.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-13Exp: 2017-04-15→ Common Stock (8,063,911 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2017-01-12$565000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2017-01-12Exp: 2017-04-15→ Common Stock (1,823,354 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2016-12-15$53000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-15Exp: 2017-04-15→ Common Stock (180,231 underlying)
Holdings

  • Common Stock

    (indirect: See footnotes)
    28,570,934
PEGASUS CAPITAL LLC
10% Owner
Transactions
  • Purchase

    Secured Convertible Promissory Note

    2016-12-13$2421472.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-13Exp: 2017-04-15→ Common Stock (8,063,911 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2016-12-15$53000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-15Exp: 2017-04-15→ Common Stock (180,231 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2016-12-26$680000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-26Exp: 2017-04-15→ Common Stock (2,185,990 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2017-01-12$565000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2017-01-12Exp: 2017-04-15→ Common Stock (1,823,354 underlying)
Holdings

  • Common Stock

    (indirect: See footnotes)
    28,570,934
Pegasus Investors IV GP, LLC
10% Owner
Transactions
  • Purchase

    Secured Convertible Promissory Note

    2016-12-26$680000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-26Exp: 2017-04-15→ Common Stock (2,185,990 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2016-12-15$53000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-15Exp: 2017-04-15→ Common Stock (180,231 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2016-12-13$2421472.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-13Exp: 2017-04-15→ Common Stock (8,063,911 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2017-01-12$565000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2017-01-12Exp: 2017-04-15→ Common Stock (1,823,354 underlying)
Holdings

  • Common Stock

    (indirect: See footnotes)
    28,570,934
PEGASUS PARTNERS IV (AIV), L.P.
10% Owner
Transactions
  • Purchase

    Secured Convertible Promissory Note

    2016-12-13$2421472.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-13Exp: 2017-04-15→ Common Stock (8,063,911 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2016-12-26$680000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-26Exp: 2017-04-15→ Common Stock (2,185,990 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2016-12-15$53000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-15Exp: 2017-04-15→ Common Stock (180,231 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2017-01-12$565000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2017-01-12Exp: 2017-04-15→ Common Stock (1,823,354 underlying)
Holdings

  • Common Stock

    (indirect: See footnotes)
    28,570,934
PEGASUS PARTNERS IV LP
10% Owner
Transactions
  • Purchase

    Secured Convertible Promissory Note

    2016-12-13$2421472.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-13Exp: 2017-04-15→ Common Stock (8,063,911 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2016-12-15$53000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-15Exp: 2017-04-15→ Common Stock (180,231 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2017-01-12$565000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2017-01-12Exp: 2017-04-15→ Common Stock (1,823,354 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2016-12-26$680000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-26Exp: 2017-04-15→ Common Stock (2,185,990 underlying)
Holdings

  • Common Stock

    (indirect: See footnotes)
    28,570,934
Pegasus Investors IV, L.P.
10% Owner
Transactions
  • Purchase

    Secured Convertible Promissory Note

    2016-12-26$680000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-26Exp: 2017-04-15→ Common Stock (2,185,990 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2016-12-13$2421472.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-13Exp: 2017-04-15→ Common Stock (8,063,911 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2016-12-15$53000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2016-12-15Exp: 2017-04-15→ Common Stock (180,231 underlying)
  • Purchase

    Secured Convertible Promissory Note

    2017-01-12$565000.00/sh(indirect: See Footnotes)
    Exercise: $0.28From: 2017-01-12Exp: 2017-04-15→ Common Stock (1,823,354 underlying)
Holdings

  • Common Stock

    (indirect: See footnotes)
    28,570,934
Footnotes (5)
  • [F1]All securities acquired and included in Table II of this report were acquired by Slipstream Communications, LLC ("Slipstream Communications"). BCOM Holdings, LP ("BCOM Holdings") is the managing member of Slipstream Communications. BCOM GP LLC ("BCOM GP") is the general partner of BCOM Holdings. Business Services Holdings, LLC ("Business Services Holdings") is the sole member of BCOM GP. Each of PP IV BSH, LLC ("PP IV BSH"), Pegasus Partners IV (AIV), L.P. ("Pegasus Partners (AIV)") and Pegasus Investors IV, L.P. ("Pegasus Investors") are the members of Business Services Holdings. Pegasus Partners IV, L.P. ("Pegasus Partners") is the sole member of PP IV BSH. Pegasus Investors is the general partner of each of Pegasus Partners (AIV) and Pegasus Partners, and Pegasus Investors IV GP, L.L.C. ("Pegasus Investors GP") is the general partner of Pegasus Investors.
  • [F2]Pegasus Investors GP is wholly owned by Pegasus Capital, LLC ("Pegasus Capital"). Pegasus Capital may be deemed to be directly or indirectly controlled by Mr. Craig Cogut.Craig Cogut, Pegasus Capital, Pegasus Investors, Pegasus Partners, Pegasus Partners (AIV), Pegasus Investors GP, and PP IV BSH are filing a separate Form 4 to report the transactions reported herein. Each of Slipstream Communications, BCOM Holdings, BCOM GP, Business Services Holdings, PP IV BSH, Pegasus Partners (AIV), Pegasus Partners, Pegasus Investors, Pegasus Investors GP, Pegasus Capital and Mr. Cogut disclaim beneficial ownership of any of the issuer's securities as to which this report relates except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of the foregoing entities or Mr. Cogut is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purposes.
  • [F3]All shares of Common Stock included as beneficially owned in Table I of this report are held indirectly by Slipstream Funding, LLC ("Slipstream Funding"). Slipstream Communications is the sole member of Slipstream Funding.
  • [F4]Based upon the principal amount plus additional principal (interest due) on the date of acquisition, at the conversion price of $0.255 per share. The note accrues interest at the rate of 14% per annum, 12% to be paid in cash and 2% to be added to the principal amount, which may be converted to common stock.
  • [F5]The maturation date is extendable for an additional six months at the election of the noteholder.

Documents

1 file

Issuer

CREATIVE REALITIES, INC.

CIK 0001356093

→
Entity typeoperating
IncorporatedMN

Related Parties

1
  • filerCIK 0001356093

Filing Metadata

Form type
4
Filed
Apr 9, 8:00 PM ET
Accepted
Apr 10, 1:56 PM ET
Size
26.1 KB
View on SEC.gov