SECURITIES & EXCHANGE COMMISSION EDGAR FILING RELM WIRELESS CORP. Form: SC 13D/A. Date Filed:

Size: px
Start display at page:

Download "SECURITIES & EXCHANGE COMMISSION EDGAR FILING RELM WIRELESS CORP. Form: SC 13D/A. Date Filed:"

Transcription

1 SECURITIES & EXCHANGE COMMISSION EDGAR FILING RELM WIRELESS CORP Form: SC 13D/A Date Filed: Corporate Issuer CIK: 2186 Copyright 2016, Issuer Direct Corporation. All Right Reserved. Distribution of this document is strictly prohibited, subject to the terms of use.

2 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 3)* ITERIS, INC. (Name of Issuer) Common Stock, $0.10 par value per share (Title of Class of Securities) 46564T107 (CUSIP Number) William P. Kelly RELM Wireless Corporation 7100 Technology Drive West Melbourne, Florida (321) D. Kyle Cerminara Fundamental Global Investors, LLC 4201 Congress Street, Suite 140 Charlotte, North Carolina (704) With a copy to: Derek D. Bork Thompson Hine LLP 3900 Key Center 127 Public Square Cleveland, Ohio (216) (Name, Address and Telephone Number of PersonAuthorized to Receive Notices and Communications) July 29, 2016 (Date of Event Which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of d-1(e), d-1(f) or d-1(g), check the following box. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See d-7 for other parties to whom copies are to be sent. * The remainder of this cover page shall be filled out for a reporting person s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 ( Act ) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

3 1 NAME OF REPORTING PERSON Fundamental Global Investors, LLC 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) 3 SEC USE ONLY 4 SOURCE OF FUNDS AF 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION North Carolina 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 2,319,094 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 2,319, AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON 2,319, CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.2% 14 TYPE OF REPORTING PERSON OO

4 1 NAME OF REPORTING PERSON Fundamental Global Partners, LP 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) 3 SEC USE ONLY 4 SOURCE OF FUNDS WC 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 164,523 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 164, AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON 164, CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.5% 14 TYPE OF REPORTING PERSON PN

5 1 NAME OF REPORTING PERSON Fundamental Global Partners Master Fund, LP 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) 3 SEC USE ONLY 4 SOURCE OF FUNDS WC 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 376,422 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 376, AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON 376, CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.2% 14 TYPE OF REPORTING PERSON PN

6 1 NAME OF REPORTING PERSON RELM Wireless Corporation 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) 3 SEC USE ONLY 4 SOURCE OF FUNDS WC 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION Nevada 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 1,778,149 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 1,778, AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON 1,778, CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.5% 14 TYPE OF REPORTING PERSON CO

7 This Amendment No. 3 to Statement of Beneficial Ownership on Schedule 13D (this Amendment No. 3 ) amends the Statement of Beneficial Ownership on Schedule 13D filed by the Reporting Persons on February 26, 2016 (as amended, the Schedule 13D or this Statement ), with respect to the Common Stock, $0.10 par value per share (the Common Stock ), of Iteris, Inc., a Delaware corporation (the Company ). Capitalized terms used but not defined in this Amendment No. 3 shall have the meanings set forth in the Schedule 13D. Except as amended and supplemented by this Amendment No. 3, the Schedule 13D remains unchanged. Item 3. Source and Amount of Funds or Other Consideration. The total cost for purchasing the Common Stock reported as owned by the Reporting Persons, including brokerage commissions, was approximately as follows: FGPP, $510,220, FGPM, $1,169,725, and RELM, $3,242,460. The source of these funds was working capital of FGPP, FGPM, and RELM, as applicable. Item 4. Purpose of Transaction. On July 29, 2016, RELM Wireless Corporation, Fundamental Global Investors, LLC and certain of their affiliates entered into an agreement (the Settlement Agreement ) with the Company relating to representation on the Company s Board of Directors (the Board ). Pursuant to the Settlement Agreement, the Company has agreed to expand the size of the Board to eight directors and immediately appoint Mr. Cerminara to the Board, to nominate Mr. Cerminara for election to the Board at the Company s 2016 Annual Meeting of Stockholders (the 2016 Annual Meeting ), to recompose the Board as provided in the Settlement Agreement, and to add another independent director to the Board. For the 2016 Annual Meeting, the Board will reduce the size of the Board, to be effective as of the 2016 Annual Meeting, to six or seven directors, as appropriate, and will nominate a slate of director nominees, consisting of Mr. Cerminara, Messrs. Gerard M. Mooney, Joe Bergera and Mikel H. Williams, two of the other current board members to be chosen by the Nominating and Corporate Governance Committee of the Board (the Committee ), and an independent director if such individual is agreed upon prior to the filing of the Company s proxy statement for the 2016 Annual Meeting (the Company Slate ). Pursuant to the Settlement Agreement, Mr. Cerminara was appointed to the Board on August 1, The Settlement Agreement provides that the independent director will be selected by Committee subject to the approval of a majority of the members of the Company Slate then serving on the Board. In the event that the independent director is not selected prior to the filing of the proxy statement, the Company has agreed to submit a proposal to its stockholders to approve an amendment of the Company s bylaws to decrease the range of the size of the Board to not less than six nor more than eleven directors, with the parties to the Settlement Agreement voting in favor of this proposal. The Reporting Persons have also agreed to customary standstill provisions for a period ending on the date that is 30 days before the last date on which a stockholder of the Company may submit nominations to the Board in connection with the Company s 2017 Annual Meeting of Stockholders. A copy of the Settlement Agreement is filed as Exhibit 99.1 to this Statement and is hereby incorporated herein by reference. None of the Reporting Persons has any present plan or proposal that would result in any of the actions described in paragraphs (a) through (j) of Item 4 of Schedule 13D, except as may be proposed by Mr. Cerminara in his capacity as a director of the Company or by such Board with Mr. Cerminara s participation. The Reporting Persons reserve the right in the future to formulate any such plans or proposals, and to take any actions with respect to their investments in the Company, including any or all of the actions described in paragraphs (a) through (j) of Item 4 of Schedule 13D.

8 The Reporting Persons may in the future acquire additional shares of common stock of the Company or dispose of some or all of the shares of common stock of the Company held by them in open-market transactions or privately negotiated transactions, on such terms and at such times as the Reporting Persons may deem advisable, subject to applicable law. Item 5. Interest in Securities of the Issuer. (a) The Reporting Persons beneficially own in the aggregate 2,319,094 shares of Common Stock, which represents approximately 7.2% of the Company s outstanding shares of Common Stock. Each of FGPP, FGPM and RELM directly holds the number and percentage of shares of Common Stock disclosed as beneficially owned by it in the applicable table set forth on the cover page to this Statement. Share purchases by RELM were made through Tactical Capital Investments LLC, a Delaware limited liability company and a wholly-owned subsidiary of RELM. None of the other Reporting Persons or, to the Reporting Persons knowledge, any individuals identified on Schedule B to the Schedule 13D directly holds any of the shares of Common Stock disclosed in this Statement, except as previously described in Item 5 of the Schedule 13D or as described below. 100 shares of Common Stock are held by RELM of record; the remaining shares of Common Stock held by RELM are in an account that is managed by CWA Asset Management Group, LLC (doing business as Capital Wealth Advisors ). CWA Asset Management Group, LLC provides wealth management, estate planning and family office services to individual investors. Fundamental Global Investors, LLC owns 50% of CWA Asset Management Group, LLC. Each percentage ownership of shares of Common Stock set forth in this Statement is based on the 32,057,503 shares of Common Stock reported by the Company as outstanding as of June 8, 2016 in its Annual Report on Form 10-K/A filed with the Securities and Exchange Commission on July 29, 2016 with respect to its fiscal year ended March 31, (c) The transactions effected by the Reporting Persons (FGPP and FGPM) in the Common Stock since the filing date of Amendment No. 2 to the Schedule 13D are set forth on Schedule A to this Statement. Each of these transactions was effected through the open market. Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. Information set forth under Item 4 hereof is hereby incorporated herein by reference. Pursuant to rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the Reporting Persons have entered into an agreement with respect to the joint filing of this Amendment No. 3, which agreement is set forth on the signature page to this Statement. Item 7. Material to Be Filed as Exhibits Agreement, dated as of July 29, 2016, by and among Iteris, Inc. and RELM Wireless Corporation, Fundamental Global Investors, LLC and certain of their affiliates.

9 SIGNATURE After reasonable inquiry and to the best of our knowledge and belief, the undersigned certifies that the information set forth in this Statement is true, complete and correct. In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of this Statement on Schedule 13D with respect to the Common Stock of the Company. Dated: August 3, 2016 FUNDAMENTAL GLOBAL PARTNERS, LP, by Fundamental Global Partners GP, LLC, its general partner /s/ D. Kyle Cerminara D. Kyle Cerminara Partner and Manager FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP, by FG Partners GP, LLC, its general partner /s/ D. Kyle Cerminara D. Kyle Cerminara Manager FUNDAMENTAL GLOBAL INVESTORS, LLC /s/ D. Kyle Cerminara D. Kyle Cerminara Chief Executive Officer, Partner and Manager FGI FUNDS MANAGEMENT, LLC /s/ D. Kyle Cerminara D. Kyle Cerminara Manager /s/ D. Kyle Cerminara D. Kyle Cerminara /s/ Lewis M. Johnson Lewis M. Johnson /s/ Joseph H. Moglia Joseph H. Moglia RELM WIRELESS CORPORATION /s/ William P. Kelly William P. Kelly EVP and Chief Financial Officer

10 Schedule A Transactions by Fundamental Global Partners, LP and Fundamental Global Partners Master Fund, LP in the Common Stock Since the Filing of Amendment No. 2 to Schedule 13D: Fundamental Global Partners, LP: Transaction Date Number of Shares Bought/(Sold) Average Price Per Share ($) 7/11/2016 2,542 $ /20/2016 4,530 $ Fundamental Global Partners Master Fund, LP : Transaction Date Number of Shares Bought/(Sold) Average Price Per Share ($) 7/11/2016 5,933 $ /20/ ,570 $

11 Exhibit 99.1 AGREEMENT This Agreement dated as of July 29, 2016 (this Agreement ), is made and entered into by and between Iteris, Inc., a Delaware corporation (the Company ), D. Kyle Cerminara, an individual (the Investor Designee ), and each of the Persons (as defined herein) set forth on the signature page hereto, including the Investor Designee (each, an Investor and collectively, the Investors or Investor Group ). WHEREAS, the Investor Group is deemed to beneficially own shares of the Company s Common Stock, par value $0.10 per share (the Common Stock ) totaling, in the aggregate, 2,319,094 shares or approximately 7.2% of the Common Stock outstanding as of the date hereof; and WHEREAS, the Company and the Investor Group believe that the best interests of the Company and its stockholders would be served at this time by, among other things, (i) agreeing to immediately add the Investor Designee to the Company s Board of Directors (the Board ); (ii) agreeing that the Investor Designee shall stand for election to the Board at the Company s 2016 Annual Meeting of Stockholders (the 2016 Annual Meeting ); (iii) agreeing to add another independent director to the Board; (iv) recomposing the Board as provided for herein; and (v) providing for certain restrictions and obligations on the Investors and their respective Affiliates and Associates. NOW, THEREFORE, in consideration of the foregoing premises and the mutual covenants and agreements contained herein, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto, intending to be legally bound hereby, agree as follows: 1. Definitions. The capitalized terms set forth in this Agreement shall have the meanings as specified on Exhibit A attached hereto. 2. Constitution of the Board. Within two (2) Business Days following the execution of this Agreement by all parties hereto, the Board, at a meeting duly called, will adopt a resolution, in accordance with the Company s Bylaws, to increase the size of the Board from seven (7) directors to eight (8) directors, and will fill the newly created vacancy on the Board to add the Investor Designee to the Board. The Nominating and Corporate Governance Committee of the Board (the NCG Committee ) has previously determined that the following directors will be among the directors standing for re-election at the 2016 Annual Meeting: Gerard M. Mooney, Joe Bergera and Mikel H. Williams (the Incumbent Directors ). The NCG Committee and the Board, at a meeting duly called, will take all necessary action (a) to nominate a slate of director nominees, consisting of the Investor Designee, the Incumbent Directors, two of the other current Board members to be chosen by the NCG Committee, and the Independent Director (as defined below), if such individual is agreed upon pursuant to the terms of this Agreement prior to the filing of the Company s proxy statement for the 2016 Annual Meeting (the Company Slate ), to serve as directors of the Company until the 2017 Annual Meeting of Stockholders (the 2017 Annual Meeting ); (b) to reduce the size of the Board to seven (7) directors in accordance with the Company s Bylaws (or subject to clause (2)(a) below to six (6) directors if the Independent Director is not approved prior to the filing of the proxy statement for the 2016 Annual Meeting), to be effective as of the 2016 Annual Meeting; and (c) to retain a nationally recognized recruiting firm to assist the NCG Committee in locating a qualified independent director with relevant industry and public company experience to join the Company s Board of Directors (the Independent Director ). The Independent Director shall be selected by the NCG Committee subject to the approval of a majority of the members of the Company Slate then serving on the Board. Within two (2) business days after the approval of the Independent Director, the Board shall promptly thereafter adopt a resolution to increase the size of the Board to seven (7) directors and to appoint the Independent Director to the Board to fill the vacancy thereon. The Investor Designee shall have the right to attend, as an ex-officio member, the NCG Committee meetings at which the selection of the Independent Director is discussed and approved. Upon the appointment of the Investor Designee to the Board pursuant to this Section 2, the Investors agree that any prior notices to designate director nominees previously submitted by them to the Company shall be null and void and of no further effect. 1

12 (a) In the event that the Independent Director shall not be selected prior to the filing of the proxy statement, the Company shall submit a proposal to its stockholders to approve the amendment of the Company s bylaws to decrease the range of the size of the Board to not less than six (6) nor more than eleven (11) directors (the Stockholder Proposal ). Each member of the Investor Group and the Investor Designee shall vote all of the shares of the Common Stock it or he owns at the 2016 Annual Meeting in support of the Stockholder Proposal (and will not support or participate in any campaign to gain support to vote against the Stockholder Proposal.). If the Stockholder Proposal is not approved, subject to the provisions of Section 2, the Investor Group also shall not, directly or indirectly, at any time during the Effective Period, take any action to fill the vacancy on the Board resulting from the failure of the Stockholder Proposal to be approved; (b) For the period commencing on the date hereof and continuing until the date that is 30 days before the last date on which a stockholder of the Company may submit nominations for the Board in connection with the 2017 Annual Meeting of Stockholders (the Effective Period ) and provided the members of the Investor Group and the Investor Designee are in compliance with this Agreement, then: (i) The Board shall direct the Company and its officers and agents to solicit votes for the election of each of the nominees included in the Company Slate (including the Investor Designee and the Independent Director, to the extent the Independent Director is located in time to be included in the Proxy Materials for the 2016 Annual Meeting), and the Company will use its commercially reasonable efforts to secure the election of the individuals on the Company Slate at the 2016 Annual Meeting, including the Investor Designee (and the Independent Director, to the extent such person is located in time to be included in the Proxy Materials for the 2016 Annual Meeting). (ii) If, during the Effective Period, the Investor Designee is unable or unwilling to continue to serve on the Board, and as a result, there is a vacancy created on the Board, the Board shall, consistent with its fiduciary duties, appoint a replacement designated by the Investor Group to fill the resulting vacancy, provided that such substitute Investor Designee (A) qualifies as an independent director under the rules and regulations of the SEC and the stock exchange on which the Common Stock is then traded, (B) is reasonably satisfactory to the Board, and (C) otherwise satisfies the requirements for nomination set forth in the preceding paragraphs. 2

13 (iii) Each of the parties hereto agrees that the Investor Designee and the Independent Director, upon appointment or election to the Board, will serve as an integral member of the Board and be governed by the same protections and obligations regarding confidentiality, conflicts of interests, fiduciary duties, trading and disclosure policies and other governance guidelines, and shall have the same rights and benefits, including (but not limited to) with respect to insurance, indemnification, compensation, reimbursements, and fees, as are applicable to all non-management directors of the Company. (c) During the Effective Period, the Board will (i) not waive the deadline for any shareholder under the Company s advance notice bylaw provisions with respect to the 2016 Annual Meeting; (ii) not expand the size of the Board above seven (7) members (except as specifically set forth herein), (iii) not establish or maintain an executive or similar committee without the Investor Designee being a member of such committee, and (iv) consider in good faith the addition of the Investor Designee and the Independent Director to appropriate committees of the Board; provided however, that the parties agree that the Investor Designee shall not serve as a member of the NCG Committee. (d) During the Effective Period and provided the Board and the Company otherwise are in compliance with this Agreement, each member of the Investor Group and the Investor Designee will vote all of the shares of the Common Stock it or he owns at the 2016 Annual Meeting in support of all of the members on the Company Slate (and will not support or participate in any withhold the vote or similar campaign, or support any other Board nominees other than the Company Slate); (e) Notwithstanding the foregoing, the Investor Designee agrees to promptly tender his resignation from the Board and any committee of the Board on which he then sits upon the occurrence of any of the following during the Effective Period, which remedy shall be in addition to any other remedies available at law or equity including, but not limited to, specific performance: (i) Any member of the Investor Group (or any of its Affiliates or Associates) (1) submits a written notice to nominate a director or directors in accordance with Section 15 of Article II of the Company s Bylaws other than with respect to the Investor Designee or the Independent Director, or (2) calls a special meeting of the stockholders of the Company; and (ii) the members of the Investor Group, together with all of their respective Affiliates, cease to collectively beneficially own at least 5% of the then outstanding Common Stock (other than as a result of dilution caused by the issuance of Common Stock by the Company). 3. Standstill. During the Effective Period, no member of the Investor Group or the Investor Designee shall, directly or indirectly (and each member of the Investor Group shall cause its respective Affiliates and Associates not to, directly or indirectly): (a) propose any candidates for election as directors of the Company (other than submissions to the NCG Committee for election of the Investor Designee or the Independent Director to the Board); provided however, that this Section shall not prohibit any members of the Investor Group or their Affiliates and Associates from engaging in private non-public communications with respect to such candidates with other members of the Investor Group and their respective Affiliates and Associates (as long as such communications do not become public); 3

14 (b) propose any shareholder proposals or proxy resolutions or make any proposal regarding nominees for director for approval by the Company s stockholders, (c) call or seek to have called any special meeting of the stockholders; (d) conduct any proxy solicitations with respect to the voting of Voting Securities (as defined below) against the recommendation of the Board regarding the election of directors or solicit proxies or written consents of stockholders, or any other person with the right to vote or power to give or withhold consent in respect of the Voting Securities, or conduct, encourage, participate or engage in any other type of referendum (binding or non-binding) with respect to, or from the holders of Voting Securities or any other person with the right to vote or power to give or withhold consent in respect of the Voting Securities, make, or in any way participate or engage in (other than by voting its shares of Voting Securities in a manner that does not violate this Agreement), any solicitation of any proxy, consent or other authority to vote any Voting Securities, with respect to any matter, or become a participant in any contested solicitation with respect to the Company, including without limitation relating to the removal or the election of directors; (e) form or join in a partnership, limited partnership, syndicate or other group, including without limitation a group as defined under Section 13(d) of the Exchange Act, with respect to the Common Stock, or otherwise support or participate in any effort by a third party with respect to the matters set forth in Section 3, or deposit any shares of Common Stock in a voting trust or subject any shares of Common Stock to any voting agreement, other than solely with other members of the Investor Group and/or their Affiliates and Associates with respect to the shares of Common Stock now or hereafter owned by them or pursuant to this Agreement; (f) without the prior approval of the Board contained in a written resolution of the Board, (x) either directly or indirectly for itself or its Affiliates, or in conjunction with any other person or entity in which it is or proposes to be either a principal, partner or financing source or is acting or proposes to act as broker or agent for compensation, effect or seek, offer or propose (whether publicly or otherwise) to effect, or cause or participate in, or (y) except as set forth in the next sentence, in any way knowingly support, assist or facilitate any other person to effect or seek, offer or propose to effect, or cause or participate in, any (i) tender offer or exchange offer, merger, acquisition or other business combination involving the Company or any of its subsidiaries or affiliates; (ii) any form of business combination or acquisition or other transaction relating to a material amount of assets or securities of the Company or any of its subsidiaries or affiliates, except for lawful acquisitions of Common Stock through the market or in privately negotiated acquisitions in the normal course of business, or (iii) any form of restructuring, recapitalization or similar transaction with respect to the Company or any of its subsidiaries or affiliates. (g) make, or cause to be made, any statement or announcement that relates to and constitutes an ad hominem attack on, or relates to and otherwise disparages, the Company, its officers or its directors or any person who has served as an officer or director of the Company on or following the date of this Agreement: (i) in any document or report filed with or furnished to the SEC or any other governmental agency, (ii) in any press release or other publicly available format, or (iii) to any journalist or member of the media (including without limitation, in a television, radio, newspaper or magazine interview). 4

15 Notwithstanding the foregoing or anything to the contrary herein, nothing in this Agreement shall in any way limit (i) the Investor Designee s ability to fully participate and communicate freely with the Company s other directors and committee members; or (ii) the Investor Group s rights as a stockholder to freely vote its securities on any matter other than with respect to the election of directors (as to which the Investor Group shall comply with the terms hereof during the Effective Period). 4. Board Policies and Procedures. The Investors agree that they shall cause the Investor Designee, and each of the Investor Designee and the that he shall, comply with all policies, processes, procedures, codes, rules, standards, and guidelines applicable to members of the Board, including, but not limited to, the Company s Corporate Governance Guidelines, any Code of Conduct, and policies on insider trading, hedging, pledging, stock ownership, public disclosures and confidentiality as may be in effect from time to time (the Policies ). Copies of the existing Policies are publicly available or have been delivered to the Investor Designee prior to the execution of this Agreement, which the Investors acknowledge and confirm have been delivered to the Investor Designee. The Investor Group shall provide, and shall cause the Investor Designee to provide, the Company with such information as is reasonably requested by the Company concerning the Investor Designee, in each case as promptly as necessary to enable the timely filing of the Company s proxy statement for the 2016 Annual Meeting and other periodic reports with the SEC during the Effective Period. 5. Modifications. This Agreement may only be modified through a written agreement signed by the Company and the members of the Investor Group who are signatories hereto. 6. Due Authorization; Enforceability. This Agreement has been duly authorized by the Board and is a valid and binding obligation of the Company, enforceable against the Company in accordance with its terms. Upon execution and delivery by the Investor Group, this Agreement will be a valid and binding obligation of each of the members of the Investor Group, enforceable against such members in accordance with its terms. 7. Specific Performance. Each of the members of the Investor Group and the Company acknowledge and agree that irreparable harm would occur in the event any of the provision of this Agreement were not performed in accordance with their specific terms or were otherwise breached. It is accordingly agreed that the parties shall be entitled to specific relief hereunder, including, without limitation, an injunction or injunctions to prevent and enjoin breach of the provisions of this agreement and to enforce specifically the terms and provisions hereof in the Court of Chancery or any federal court in the State of Delaware, in addition to any other remedy to which they may be entitled at law or in equity. Any requirements for the securing or posting of any bond with such remedy are hereby waived. 8. No Impairment. Neither the Company nor the Board shall take any action to avoid or seek to avoid the observance or performance of any of the provisions required to be observed or performed by the Company or the Board under this Agreement, but shall at all times in good faith take all actions that are necessary to carry out and perform all of the provisions and purposes and intents of this Agreement. 5

16 9. Governing Law. This Agreement shall be governed by and construed and enforced in accordance with the laws of the State of Delaware, without regard to any conflict of laws provisions thereof. 10. Counterparts. This Agreement may be executed in one or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. 11. Notices. All notices, consents, requests, instructions, approvals and other communications provided for herein and all legal process in regard hereto shall be in writing and shall be deemed validly given, made or served, if (a) given by facsimile and , when such fax and is transmitted to the fax number set forth below and sent to the address set forth below and the appropriate confirmation is received or (b) if given by any other means, when actually received during normal business hours at the address specified in this subsection: if to the Company: Iteris, Inc Carnegie Avenue, Suite 100 Santa Ana, CA Attention: Chief Executive Officer Facsimile: (949) With a copy to (which shall not constitute notice): Morgan, Lewis & Bockius LLP 600 Anton Boulevard, Suite 1800 Costa Mesa, CA Facsimile: (714) Attention: Ellen S. Bancroft if to the Investor Group: c/o RELM Wireless Corporation 7100 Technology Drive West Melbourne, FL Attn: Chairman of the Board Facsimile: (321) and c/o Fundamental Global Investors, LLC 4201 Congress Street, Suite 140 Charlotte, NC Attn: D. Kyle Cerminara Facsimile: (866) With a copy to (which shall not constitute notice): Thompson Hine LLP 3900 Key Center 127 Public Square Cleveland, OH Attn: Derek D. Bork Facsimile: (216) Severability. If at any time subsequent to the date hereof, any provision of this Agreement shall be held by any court of competent jurisdiction to be illegal, void or unenforceable, such provision shall be of no force and effect, but the illegality or unenforceability of such provision shall have no effect upon the legality or enforceability of any other provision of this Agreement. 13. Successors and Assigns. This Agreement shall not be assignable by any of the parties to this Agreement. This Agreement, however, shall be binding on successors of the parties hereto. 6

17 IN WITNESS WHEREOF, the following parties have executed this Agreement as of the date first above written: COMPANY ITERIS, INC. By: /s/ Joe Bergera Joe Bergera, Chief Executive Officer INVESTOR DESIGNEE /s/ D. Kyle Cerminara D. Kyle Cerminara, an individual INVESTOR GROUP RELM Wireless Corporation By: /s/ David P. Storey Print Name: David P. Storey Title: President and Chief Executive Officer Fundamental Global Investors, LLC Title: CEO, Partner and Manager Fundamental Global Partners, LP by Fundamental Global Partners GP, LLC, its General Partner Title: Partner and Manager 7

18 Fundamental Global Partners GP, LLC Title: Partner and Manager Fundamental Global Partners Master Fund, LP by FG Partners GP, LLC, its general partner Title: Manager FG Partners GP, LLC Title: Manager FGI Global Asset Allocation Fund, Ltd. Title: Director FGI Global Asset Allocation Master Fund, LP by FGI Global Asset Allocation GP, LLC, its general partner Title: Manager 8

19 Tactical Capital Investments LLC By: /s/ David P. Storey Print Name: David P. Storey Title: Manager Ballantyne Strong, Inc. Title: Chief Executive Officer CWA Asset Management Group, LLC Title: Manager and Co-Chief Investment Officer FGI Funds Management, LLC Title: Manager FGI International USVI, LLC Title: Manager 9

20 EXHIBIT A Certain Definitions The following terms shall have the meanings set forth below: Affiliate shall have the meaning set forth in Rule 12b-2 promulgated by the SEC under the Exchange Act. Associate has the meaning ascribed to such term in Rule 12b-2 of the General Rules and Regulations of the Exchange Act. Beneficial Owner. A Person shall be deemed the Beneficial Owner of, and to have beneficial ownership of, and shall be deemed to beneficially own, any securities as to which such Person or any of such Person s Affiliates or Associates is or may be deemed to be the beneficial owner, directly or indirectly, pursuant to Rules 13d-3 promulgated under the Exchange Act, as such Rules are in effect on the date of this Agreement. Exchange Act shall mean the Securities and Exchange Act of 1934, as amended; Person or Persons shall mean any individual, corporation (including not-for-profit), general or limited partnership, limited liability company, joint venture, estate, trust, association, organization or other entity of any kind or nature; Related Person shall mean, as to any Person, any Affiliates or Associates of such Person. SEC shall mean U.S. Securities and Exchange Commission; and Voting Securities means the Common Stock and any other securities of the Company having the right to vote. 10

INTERNATIONAL WIRE GROUP INC Filed by BLACKSTONE DISTRESSED SECURITIES ADVISORS LP

INTERNATIONAL WIRE GROUP INC Filed by BLACKSTONE DISTRESSED SECURITIES ADVISORS LP INTERNATIONAL WIRE GROUP INC Filed by BLACKSTONE DISTRESSED SECURITIES ADVISORS LP FORM SC 13G (Statement of Ownership) Filed 3/4/8 Address 12 MASONIC AVENUE CAMDEN, NY 13316 Telephone 314 416-8216 CIK

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D (Rule 13d-101)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D (Rule 13d-101) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 240.13d-1(a) AND AMENDMENTS THERETO FILED

More information

GENCO SHIPPING & TRADING LTD Filed by AURELIUS CAPITAL MANAGEMENT, LP

GENCO SHIPPING & TRADING LTD Filed by AURELIUS CAPITAL MANAGEMENT, LP GENCO SHIPPING & TRADING LTD Filed by AURELIUS CAPITAL MANAGEMENT, LP FORM SC 13D (Statement of Beneficial Ownership) Filed 5/5/14 Address 299 PARK AVENUE, 12TH FLOOR NEW YORK, NY, 1171 Telephone 646-443-855

More information

National American University Holdings, Inc.

National American University Holdings, Inc. SECURITIES & EXCHANGE COMMISSION EDGAR FILING National American University Holdings, Inc. Form: SC 13G Date Filed: 218-1-22 Corporate Issuer CIK: 1399855 Copyright 218, Issuer Direct Corporation. All Right

More information

GENCO SHIPPING & TRADING LTD Filed by OZ MANAGEMENT LP

GENCO SHIPPING & TRADING LTD Filed by OZ MANAGEMENT LP GENCO SHIPPING & TRADING LTD Filed by OZ MANAGEMENT LP FORM SC 13D/A (Amended Statement of Beneficial Ownership) Filed 4/25/14 Address 299 PARK AVENUE, 12TH FLOOR NEW YORK, NY, 1171 Telephone 646-443-855

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D. Alliqua BioMedical, Inc. (Name of Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D. Alliqua BioMedical, Inc. (Name of Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Alliqua BioMedical, Inc. (Name of Issuer) Common Stock,

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Adeptus Health Inc. (Name of Issuer) Class A Common Stock

More information

Och-Ziff Capital Management Group LLC (Name of Issuer)

Och-Ziff Capital Management Group LLC (Name of Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 18) Och-Ziff Capital Management Group LLC (Name of Issuer)

More information

8x8, INC. COMMON STOCK PURCHASE WARRANT. Warrant No. [ ] Date of Original Issuance: December 19, 2005

8x8, INC. COMMON STOCK PURCHASE WARRANT. Warrant No. [ ] Date of Original Issuance: December 19, 2005 8x8, INC. COMMON STOCK PURCHASE WARRANT Warrant No. [ ] Date of Original Issuance: December 19, 2005 8x8, Inc., a Delaware corporation (the "Company"), hereby certifies that, for value received, [CASTLERIGG

More information

STARTUPCO LLC MEMBERSHIP INTEREST SUBSCRIPTION AGREEMENT

STARTUPCO LLC MEMBERSHIP INTEREST SUBSCRIPTION AGREEMENT STARTUPCO LLC MEMBERSHIP INTEREST SUBSCRIPTION AGREEMENT This MEMBERSHIP INTEREST SUBSCRIPTION AGREEMENT (the "Agreement") is entered into by and between STARTUPCO LLC, a limited liability company (the

More information

VIKING THERAPEUTICS, INC. (Name of Issuer)

VIKING THERAPEUTICS, INC. (Name of Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* VIKING THERAPEUTICS, INC. (Name of Issuer) Common Stock,

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D. Under the Securities Exchange Act of ADMA Biologics, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D. Under the Securities Exchange Act of ADMA Biologics, Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 ADMA Biologics, Inc. (Name of Issuer) Common Stock, Par Value $0.0001 per

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D (Rule 13d-101)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D (Rule 13d-101) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 240.13d-1(a) AND AMENDMENTS THERETO FILED

More information

48019R108 (CUSIP Number)

48019R108 (CUSIP Number) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) Jones Energy, Inc. (Name of Issuer) Class A Common Stock,

More information

AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TERRAFORM POWER, INC.

AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TERRAFORM POWER, INC. Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF TERRAFORM POWER, INC. ARTICLE ONE The name of the Corporation is TerraForm Power, Inc. ARTICLE TWO The address of the Corporation s registered

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13G Under the Securities Exchange Act of 1934 (AMENDMENT NO.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13G Under the Securities Exchange Act of 1934 (AMENDMENT NO. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (AMENDMENT NO. 1) CALLON PETROLEUM COMPANY (Name of Issuer) COMMON STOCK,

More information

OAKTREE CAPITAL GROUP, LLC Filed by JMB CAPITAL PARTNERS MASTER FUND L.P.

OAKTREE CAPITAL GROUP, LLC Filed by JMB CAPITAL PARTNERS MASTER FUND L.P. OAKTREE CAPITAL GROUP, LLC Filed by JMB CAPITAL PARTNERS MASTER FUND L.P. FORM SC 13G (Statement of Ownership) Filed 04/23/12 Address 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES, CA, 90071 Telephone

More information

SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13G. Under the Securities Exchange Act of (Amendment No.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13G. Under the Securities Exchange Act of (Amendment No. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Atossa Genetics Inc. (Name of Issuer) Common Stock, $0.015 par value

More information

AVIS BUDGET GROUP, INC.

AVIS BUDGET GROUP, INC. AVIS BUDGET GROUP, INC. FORM 8-K (Current report filing) Filed 01/25/16 for the Period Ending 01/25/16 Address 6 SYLVAN WAY PARSIPPANY, NJ 07054 Telephone 973-496-5147 CIK 0000723612 Symbol CAR SIC Code

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D (Rule 13d-101)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D (Rule 13d-101) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 240.13d-1(a) AND AMENDMENTS THERETO FILED

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13G (Rule 13d-102)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13G (Rule 13d-102) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS

More information

INFORMATION TO BE IN INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a)

INFORMATION TO BE IN INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-102) INFORMATION TO BE IN INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO

More information

DANAOS CORPORATION (Name of Issuer)

DANAOS CORPORATION (Name of Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* DANAOS CORPORATION (Name of Issuer) Common Stock, par

More information

CONTURA ENERGY, INC. (a Delaware corporation) WRITTEN CONSENT OF STOCKHOLDERS. April 29, 2018

CONTURA ENERGY, INC. (a Delaware corporation) WRITTEN CONSENT OF STOCKHOLDERS. April 29, 2018 CONTURA ENERGY, INC. (a Delaware corporation) WRITTEN CONSENT OF STOCKHOLDERS April 29, 2018 Pursuant to Sections 228, 242 and 245 of the General Corporation Law of the State of Delaware ( DGCL ), the

More information

VORNADO REALTY TRUST Filed by INTERSTATE PROPERTIES

VORNADO REALTY TRUST Filed by INTERSTATE PROPERTIES VORNADO REALTY TRUST Filed by INTERSTATE PROPERTIES FORM SC 13D (Statement of Beneficial Ownership) Filed 03/06/15 Address 888 SEVENTH AVE NEW YORK, NY 10019 Telephone 212-894-7000 CIK 0000899689 Symbol

More information

SCHEDULE 13G (Amendment No. )

SCHEDULE 13G (Amendment No. ) SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Amendment No. ) UNDER THE SECURITIES EXCHANGE ACT OF 1934 Torchlight Energy Resources, Inc. (Name of Issuer) Common Stock, par value

More information

DIAMOND RESORTS INTERNATIONAL, INC. Filed by GUGGENHEIM CAPITAL LLC

DIAMOND RESORTS INTERNATIONAL, INC. Filed by GUGGENHEIM CAPITAL LLC DIAMOND RESORTS INTERNATIONAL, INC. Filed by GUGGENHEIM CAPITAL LLC FORM SC 13D/A (Amended Statement of Beneficial Ownership) Filed 03/24/15 Address 10600 WEST CHARLESTON BOULEVARD LAS VEGAS, NV, 89135

More information

BAIN CAPITAL SPECIALTY FINANCE, INC.

BAIN CAPITAL SPECIALTY FINANCE, INC. SC 13D/A 1 a18-40455_1sc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* BAIN CAPITAL SPECIALTY FINANCE,

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D (Rule 13d-101)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D (Rule 13d-101) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 240.13d-1(a) AND AMENDMENTS THERETO FILED

More information

As filed with the Securities and Exchange Commission on December 15, SECURITIES AND EXCHANGE COMMISSION Washington, D.C.

As filed with the Securities and Exchange Commission on December 15, SECURITIES AND EXCHANGE COMMISSION Washington, D.C. Section 1: SC TO-I (SC TO-I) As filed with the Securities and Exchange Commission on December 15, 2016 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO Tender Offer Statement under

More information

Mango Bay Properties & Investments dba Mango Bay Mortgage

Mango Bay Properties & Investments dba Mango Bay Mortgage WHOLESALE BROKER AGREEMENT This Wholesale Broker Agreement (the Agreement ) is entered into on this day of between Mango Bay Property and Investments Inc. dba Mango Bay Mortgage (MBM) and ( Broker ). RECITALS

More information

FORBEARANCE AGREEMENT

FORBEARANCE AGREEMENT EXECUTION VERSION FORBEARANCE AGREEMENT THIS FORBEARANCE AGREEMENT, dated as of August 14, 2014 (this Agreement ), is entered into by and between PUERTO RICO ELECTRIC POWER AUTHORITY (the Company ) and

More information

SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ADVANCED EMISSIONS SOLUTIONS, INC.

SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ADVANCED EMISSIONS SOLUTIONS, INC. SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ADVANCED EMISSIONS SOLUTIONS, INC. ADVANCED EMISSIONS SOLUTIONS, INC. (the Corporation ) was incorporated under the laws of the State of Delaware

More information

SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13G. Under the Securities Exchange Act of (Amendment No.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13G. Under the Securities Exchange Act of (Amendment No. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* OncoSec Medical Incoporated (Name of Issuer) Common Stock, par value $0.0001

More information

SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D/A (Amendment No. 4)* Under the Securities Exchange Act of 1934

SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D/A (Amendment No. 4)* Under the Securities Exchange Act of 1934 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 2549 SCHEDULE 13D/A (Amendment No. 4)* Under the Securities Exchange Act of 1934 CDK Global, Inc. (Name of Issuer) Common Stock, par value $.1 per share

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13G. Under the Securities Exchange Act of 1934 (Amendment No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13G. Under the Securities Exchange Act of 1934 (Amendment No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* INVITAE CORPORATION (Name of Issuer) COMMON STOCK, $0. 0001

More information

Paperweight Development Corp. (Exact name of registrant as specified in its charter)

Paperweight Development Corp. (Exact name of registrant as specified in its charter) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13G. Under the Securities Exchange Act of 1934 (Amendment No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13G. Under the Securities Exchange Act of 1934 (Amendment No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 2549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* ONCOSEC MEDICAL INCORPORATED (Name of Issuer) Common Stock,

More information

SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13G. Under the Securities Exchange Act of 1934 (Amendment No.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13G. Under the Securities Exchange Act of 1934 (Amendment No. FORM SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Riot Blockchain, Inc. (Name of Issuer) Common Stock, no par

More information

Realogy Holdings Corp. (Name of Issuer)

Realogy Holdings Corp. (Name of Issuer) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Realogy Holdings Corp. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of

More information

PREFERRED APARTMENT COMMUNITIES INC Filed by WILLIAMS OPPORTUNITY FUND LLC

PREFERRED APARTMENT COMMUNITIES INC Filed by WILLIAMS OPPORTUNITY FUND LLC PREFERRED APARTMENT COMMUNITIES INC Filed by WILLIAMS OPPORTUNITY FUND LLC FORM SC 13D/A (Amended Statement of Beneficial Ownership) Filed 04/11/12 Address 3284 NORTHSIDE PARKWAY NW SUITE 150 ATLANTA,

More information

CONVERTIBLE PROMISSORY NOTE

CONVERTIBLE PROMISSORY NOTE CONVERTIBLE PROMISSORY NOTE THIS CONVERTIBLE PROMISSORY NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ACT ), OR UNDER ANY STATE SECURITIES LAW AND MAY NOT BE PLEDGED, SOLD,

More information

SILKROLL INC. CROWD SAFE. (Crowdfunding Simple Agreement for Future Equity)

SILKROLL INC. CROWD SAFE. (Crowdfunding Simple Agreement for Future Equity) THIS INSTRUMENT HAS BEEN ISSUED PURSUANT TO SECTION 4(A)(6) OF THE SECURITIES ACT OF 1933, AS AMENDED (THE SECURITIES ACT ), AND NEITHER IT NOR ANY SECURITIES ISSUABLE PURSUANT HERETO HAVE BEEN REGISTERED

More information

EMPLOYMENT AGREEMENT

EMPLOYMENT AGREEMENT Exhibit 10.1 EMPLOYMENT AGREEMENT This Agreement is made and is effective as of the 8th day of March, 2011, by and between S&W Seed Company, a Delaware corporation (the Company ) and Mark S. Grewal ( Executive

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D (Amendment No. 1) Under the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D (Amendment No. 1) Under the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 1) Under the Securities Exchange Act of 1934 SIENTRA, INC. (Name of Issuer) Common Stock, $0.01 par value

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D. Under the Securities Exchange Act of 1934 (Amendment No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D. Under the Securities Exchange Act of 1934 (Amendment No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* ELECTRAMECCANICA VEHICLES CORP. (Name of Issuer) COMMON

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* PIERIS PHARMACEUTICALS, INC. (Name of Issuer) COMMON STOCK

More information

WARRANT. Warrant Certificate No.: Original Issue Date:

WARRANT. Warrant Certificate No.: Original Issue Date: WARRANT Warrant Certificate No.: Original Issue Date: FOR VALUE RECEIVED,, a corporation (the "Company"), hereby certifies that CENTERSTATE CORPORATION FOR ECONOMIC OPPORTUNITY, a New York not-for-profit

More information

AGREEMENT AND PLAN OF MERGER. among TWENTY-FIRST CENTURY FOX, INC. THE WALT DISNEY COMPANY TWC MERGER ENTERPRISES 2 CORP. and

AGREEMENT AND PLAN OF MERGER. among TWENTY-FIRST CENTURY FOX, INC. THE WALT DISNEY COMPANY TWC MERGER ENTERPRISES 2 CORP. and EXECUTION VERSION Exhibit 2.1 AGREEMENT AND PLAN OF MERGER among TWENTY-FIRST CENTURY FOX, INC. THE WALT DISNEY COMPANY TWC MERGER ENTERPRISES 2 CORP. and TWC MERGER ENTERPRISES 1, LLC Dated as of December

More information

GRYPHON ONLINE SAFETY, INC.

GRYPHON ONLINE SAFETY, INC. THIS INSTRUMENT AND THE SECURITIES ISSUABLE UPON THE CONVERSION HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ACT ). THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED,

More information

Restaurant Brands International Inc. (Name of Issuer)

Restaurant Brands International Inc. (Name of Issuer) Section 1: SC 13D/A (AMENDMENT NO. 4 TO SCHEDULE 13D) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 2549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)*

More information

Restaurant Brands International Inc. (Name of Issuer)

Restaurant Brands International Inc. (Name of Issuer) Section 1: SC 13D/A (AMENDMENT NO. 5 TO SCHEDULE 13D) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 2549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5)*

More information

SCHEDULE 13D (Rule 13d-101)

SCHEDULE 13D (Rule 13d-101) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 240.13d-1(a) AND AMENDMENTS THERETO FILED

More information

RADIOPUBLIC PBC (a Delaware public benefit corporation) Series S-1. CROWD SAFE (Crowdfunding Simple Agreement for Future Equity)

RADIOPUBLIC PBC (a Delaware public benefit corporation) Series S-1. CROWD SAFE (Crowdfunding Simple Agreement for Future Equity) THIS INSTRUMENT HAS BEEN ISSUED PURSUANT TO SECTION 4(A)(6) OF THE SECURITIES ACT OF 1933, AS AMENDED (THE SECURITIES ACT ), AND NEITHER IT NOR ANY SECURITIES ISSUABLE PURSUANT HERETO HAVE BEEN REGISTERED

More information

SECURITIES AND EXCHANGE COMMISSION. Washington, D.C SCHEDULE 13G. Under the Securities Exchange Act of 1934

SECURITIES AND EXCHANGE COMMISSION. Washington, D.C SCHEDULE 13G. Under the Securities Exchange Act of 1934 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Alon USA Energy, Inc. (Name of Issuer) Common stock, par value $0.01 (Title of Class of

More information

STOCK OPTION AGREEMENT

STOCK OPTION AGREEMENT EXHIBIT 10.3 as of December 23, 2010 The parties to this Non-Statutory Stock Option Agreement (this Agreement ) are Cinedigm Digital Cinema Corp. (the Company ), a Delaware corporation, and Christopher

More information

Blackstone Real Estate Income Trust, Inc.

Blackstone Real Estate Income Trust, Inc. SC 13D 1 d68353dsc13d.htm SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 2549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Blackstone Real Estate Income

More information

CHASE BANK USA, NATIONAL ASSOCIATION, Transferor, Servicer and Administrator. CHASE ISSUANCE TRUST, Issuing Entity. and

CHASE BANK USA, NATIONAL ASSOCIATION, Transferor, Servicer and Administrator. CHASE ISSUANCE TRUST, Issuing Entity. and EXECUTION COPY CHASE BANK USA, NATIONAL ASSOCIATION, Transferor, Servicer and Administrator CHASE ISSUANCE TRUST, Issuing Entity and WELLS FARGO BANK, NATIONAL ASSOCIATION, Indenture Trustee and Collateral

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D (Rule 13d-101)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13D (Rule 13d-101) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 240.13d-1(a) AND AMENDMENTS THERETO FILED

More information

AMENDMENT NO. 1 TO 364-DAY BRIDGE CREDIT AGREEMENT

AMENDMENT NO. 1 TO 364-DAY BRIDGE CREDIT AGREEMENT EXECUTION VERSION AMENDMENT NO. 1 TO 364-DAY BRIDGE CREDIT AGREEMENT THIS AMENDMENT NO. 1 TO 364-DAY BRIDGE CREDIT AGREEMENT dated as of August 22, 2018 (this Amendment ) is entered into among Comcast

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C BARNES & NOBLE, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C BARNES & NOBLE, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* BARNES & NOBLE, INC. (Name of Issuer) Common Stock, $.001

More information

Rose Rock Midstream, L.P. (Name of Issuer)

Rose Rock Midstream, L.P. (Name of Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 6) Rose Rock Midstream, L.P. (Name of Issuer) Common units

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13G. Under the Securities Exchange Act of 1934 (Amendment No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13G. Under the Securities Exchange Act of 1934 (Amendment No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Hyperdynamics Corporation (Name of Issuer) Common Stock,

More information

RESTATED CERTIFICATE OF INCORPORATION CAPITAL ONE FINANCIAL CORPORATION

RESTATED CERTIFICATE OF INCORPORATION CAPITAL ONE FINANCIAL CORPORATION RESTATED CERTIFICATE OF INCORPORATION OF CAPITAL ONE FINANCIAL CORPORATION 1. The name of the corporation (which is hereafter referred to as the Corporation) is Capital One Financial Corporation. 2. The

More information

FORBES ENERGY SERVICES LTD. Filed by WEST FACE CAPITAL INC.

FORBES ENERGY SERVICES LTD. Filed by WEST FACE CAPITAL INC. FORBES ENERGY SERVICES LTD. Filed by WEST FACE CAPITAL INC. FORM SC 13G (Statement of Ownership) Filed 02/14/12 Address 3000 SOUTH BUSINESS HIGHWAY 281 ALICE, TX, 78332 Telephone 361-664-0549 CIK 0001434842

More information

/05/ Applicability.

/05/ Applicability. 4060 03/05/2018 Master Securities Lending Agreement for Interactive Brokers LLC Fully-Paid Lending Program This Master Securities Lending Agreement ("Agreement") is entered into by and between Interactive

More information

Lavabit LLC. Crowd SAFE. Series 2019

Lavabit LLC. Crowd SAFE. Series 2019 THIS INSTRUMENT HAS BEEN ISSUED PURSUANT TO SECTION 4(A)(6) OF THE SECURITIES ACT OF 1933, AS AMENDED (THE SECURITIES ACT ), AND NEITHER IT NOR ANY SECURITIES ISSUABLE PURSUANT HERETO HAVE BEEN REGISTERED

More information

LEAR CORP Filed by ICAHN CARL C

LEAR CORP Filed by ICAHN CARL C LEAR CORP Filed by ICAHN CARL C FORM SC 13D/A (Amended Statement of Beneficial Ownership) Filed 08/01/08 Address 21557 TELEGRAPH ROAD SOUTHFIELD, MI 48033 Telephone 2484471500 CIK 0000842162 Symbol LEA

More information

Form of Warrant. Warrant to Purchase Common Stock. MVP REIT II, Inc. WARRANT. Dated: [ ], 2016

Form of Warrant. Warrant to Purchase Common Stock. MVP REIT II, Inc. WARRANT. Dated: [ ], 2016 Form of Warrant THIS WARRANT AND THE SHARES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ACT ), OR UNDER ANY APPLICABLE STATE SECURITIES

More information

ARIAD PHARMACEUTICALS INC Filed by SARISSA CAPITAL MANAGEMENT LP

ARIAD PHARMACEUTICALS INC Filed by SARISSA CAPITAL MANAGEMENT LP ARIAD PHARMACEUTICALS INC Filed by SARISSA CAPITAL MANAGEMENT LP FORM SC 13D/A (Amended Statement of Beneficial Ownership) Filed 09/02/14 Address 125 BINNEY STREET CAMBRIDGE, MA, 02142 Telephone 6174940400

More information

NELNET INC Filed by CEDAR HILL CAPITAL PARTNERS, LLC

NELNET INC Filed by CEDAR HILL CAPITAL PARTNERS, LLC NELNET INC Filed by CEDAR HILL CAPITAL PARTNERS, LLC FORM SC 13G (Statement of Ownership) Filed 1/7/8 Address 121 SOUTH 13TH ST STE 21 LINCOLN, NE 6858 Telephone 42-458-237 CIK 125862 Symbol NNI SIC Code

More information

CASTLE BRANDS INC Filed by CAMULOS CAPITAL LP

CASTLE BRANDS INC Filed by CAMULOS CAPITAL LP CASTLE BRANDS INC Filed by CAMULOS CAPITAL LP FORM SC 13G/A (Amended Statement of Ownership) Filed 2/12/9 Address 122 EAST 42ND STREET SUITE 47 NEW YORK, NY 1168 Telephone 646-356-2 CIK 1311538 Symbol

More information

EXHIBIT B FORMS OF TRANSFER AND EXCHANGE CERTIFICATES

EXHIBIT B FORMS OF TRANSFER AND EXCHANGE CERTIFICATES EXHIBIT B FORMS OF TRANSFER AND EXCHANGE CERTIFICATES EXHIBIT B1 FORM OF TRANSFEROR CERTIFICATE FOR TRANSFER OF RULE 144A GLOBAL NOTE OR CERTIFICATED NOTE TO REGULATION S GLOBAL NOTE Citibank, N.A., as

More information

Hyster-Yale Materials Handling, Inc. (Name of Issuer)

Hyster-Yale Materials Handling, Inc. (Name of Issuer) CUSIP No. 449172204 Schedule 13D/A Page 1 of 9 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5) Hyster-Yale

More information

SECURITIES PURCHASE AGREEMENT

SECURITIES PURCHASE AGREEMENT SECURITIES PURCHASE AGREEMENT H & K DRAFT 10/20/00 THIS SECURITIES PURCHASE AGREEMENT is dated as of, 2000 (this "Agreement"), and entered into by and between ICM Registry Inc., a Delaware corporation

More information

KLEANGAS ENERGY TECHNOLOGIES, INC.

KLEANGAS ENERGY TECHNOLOGIES, INC. KLEANGAS ENERGY TECHNOLOGIES, INC. FORM 8-K/A (Amended Current report filing) Filed 12/19/13 for the Period Ending 11/25/13 Address 3001 N. ROCKY POINT RD. SUITE 200 TAMPA, FL, 33607 Telephone 310-227-1772

More information

TARGETED VARIABLE LONG TERM INCENTIVE PROGRAM

TARGETED VARIABLE LONG TERM INCENTIVE PROGRAM TARGETED VARIABLE LONG TERM INCENTIVE PROGRAM OCTOBER 27, 2016 KEY EMPLOYEE AWARD TERMS AND CONDITIONS This Key Employee Award Terms and Conditions describes terms and conditions of Restricted Stock Unit

More information

Pharma-Bio Serv, Inc.

Pharma-Bio Serv, Inc. SECURITIES & EXCHANGE COMMISSION EDGAR FILING Pharma-Bio Serv, Inc. Form: SC 13D Date Filed: 2014-03-27 Corporate Issuer CIK: 1304161 Symbol: PBSV SIC Code: 8742 Fiscal Year End: 10/31 Copyright 2014,

More information

Propetro Holding Corp. (Name of Issuer)

Propetro Holding Corp. (Name of Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 2549 SCHEDULE 13G (Rule 13d-12) Information to be Included in Statements Filed Pursuant to 24.13d-1(b), (c) and (d) and Amendments Thereto

More information

LIVEDGAR Information Provided By: GSI ONLINE A division of Global Securities Information, Inc.

LIVEDGAR Information Provided By: GSI ONLINE A division of Global Securities Information, Inc. Downloaded By: Kerri-Ann Philp Company: SIMEX TECHNOLOGIES INC Company: STEINBERG MARTY Form Type: SC 13D SEC File #: 005-79732 Description: SIMEX TECHNOLOGIES INC/MARTY STEINBERG File Date: 03/09/04 State

More information

Notice of Amendment to Plan

Notice of Amendment to Plan 013VGA 001CS15625 Notice of Amendment to Plan The pricing methodology for purchases set forth in the attached document is no longer applicable and has been superseded by the following: Share Purchases

More information

DFI FUNDING BROKER AGREEMENT Fax to

DFI FUNDING BROKER AGREEMENT Fax to DFI FUNDING BROKER AGREEMENT Fax to 916-848-3550 This Wholesale Broker Agreement (the Agreement ) is entered i n t o a s o f (the Effective Date ) between DFI Funding, Inc., a California corporation (

More information

Master Securities Loan Agreement

Master Securities Loan Agreement Master Securities Loan Agreement 2017 Version Dated as of: Between: and 1. Applicability. From time to time the parties hereto may enter into transactions in which one party ( Lender ) will lend to the

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event

More information

ECO-STIM ENERGY SOLUTIONS, INC. (Name of Issuer)

ECO-STIM ENERGY SOLUTIONS, INC. (Name of Issuer) CUSIP No. 27888D11 SCHEDULE 13G Page 1 of 12 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 2549 SCHEDULE 13G Under the Securities Exchange Act of 1934 INFORMATION TO BE INCLUDED IN

More information

AMENDED AND RESTATED CERTIFICATE OF INCORPORATION DELTA AIR LINES, INC. *

AMENDED AND RESTATED CERTIFICATE OF INCORPORATION DELTA AIR LINES, INC. * AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF DELTA AIR LINES, INC. * The name of the Corporation is Delta Air Lines, Inc. (the Corporation ). The original Certificate of Incorporation of the Corporation

More information

Sogou Inc. (Name of Issuer)

Sogou Inc. (Name of Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Sogou Inc. (Name of Issuer) Class A Ordinary Shares, par

More information

CAESARS ENTERTAINMENT CORPORATION

CAESARS ENTERTAINMENT CORPORATION Form 8-K https://www.sec.gov/archives/edgar/data/858339/000119312516719042/d446830d8k.htm Page 1 of 6 8-K 1 d446830d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C SCHEDULE 13D

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------ SCHEDULE 13D Information to be Included in Statements Filed Pursuant to Rule 13d-1(a) and Amendments thereto Filed Pursuant

More information

Apollo Medical Holdings, Inc.

Apollo Medical Holdings, Inc. SECURITIES & EXCHANGE COMMISSION EDGAR FILING Apollo Medical Holdings, Inc. Form: 8-K Date Filed: 2017-02-13 Corporate Issuer CIK: 1083446 Copyright 2017, Issuer Direct Corporation. All Right Reserved.

More information

RESTRICTED STOCK PURCHASE AGREEMENT

RESTRICTED STOCK PURCHASE AGREEMENT RESTRICTED STOCK PURCHASE AGREEMENT THIS RESTRICTED STOCK PURCHASE AGREEMENT (the Agreement ) is made as of by and between STARTUP INC., a Delaware corporation (the Company ) and ( Purchaser ). Certain

More information

Issuer Appointment of an Investment Bank Designated Advisor for Disclosure

Issuer Appointment of an Investment Bank Designated Advisor for Disclosure Issuer Appointment of an Investment Bank Designated Advisor for Disclosure Full Name and Address of the Issuer: (the Issuer ) Address: Full Name and Address of the Investment Bank Designated Advisor for

More information

AMENDED AND RESTATED OPERATING AGREEMENT OF SOUTH DAKOTA SOYBEAN PROCESSORS, LLC JUNE 20, 2017 IMPORTANT PLEASE NOTE THE FOLLOWING

AMENDED AND RESTATED OPERATING AGREEMENT OF SOUTH DAKOTA SOYBEAN PROCESSORS, LLC JUNE 20, 2017 IMPORTANT PLEASE NOTE THE FOLLOWING AMENDED AND RESTATED OPERATING AGREEMENT OF SOUTH DAKOTA SOYBEAN PROCESSORS, LLC JUNE 20, 2017 IMPORTANT PLEASE NOTE THE FOLLOWING BEFORE YOU EXECUTE THE COUNTERPART SIGNATURE PAGE TO THIS OPERATING AGREEMENT

More information

Founder Stock Restriction Agreement [for use in venture capital financing]

Founder Stock Restriction Agreement [for use in venture capital financing] Founder Stock Restriction Agreement [for use in venture capital financing] Document 1587A Access to this document and the LeapLaw web site is provided with the understanding that neither LeapLaw Inc. nor

More information

RESTRICTED STOCK PROGRAM FEBRUARY 7, 2013 KEY EMPLOYEE AWARD TERMS AND CONDITIONS

RESTRICTED STOCK PROGRAM FEBRUARY 7, 2013 KEY EMPLOYEE AWARD TERMS AND CONDITIONS RESTRICTED STOCK PROGRAM FEBRUARY 7, 2013 KEY EMPLOYEE AWARD TERMS AND CONDITIONS This Key Employee Award Terms and Conditions describes terms and conditions of Restricted Stock or Restricted Stock Unit

More information

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C SCHEDULE 13D (RULE 13D - 101)

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C SCHEDULE 13D (RULE 13D - 101) SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 2549 SCHEDULE 13D (RULE 13D - 11) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a)

More information

FORM OF ERISA CERTIFICATE

FORM OF ERISA CERTIFICATE EXHIBIT B4 FORM OF ERISA CERTIFICATE The purpose of this ERISA Certificate (this Certificate ) is, among other things, to (i) endeavor to ensure that less than 25% of the value of the [Class E Notes] [Subordinated

More information

Holdings Certificate of Incorporation

Holdings Certificate of Incorporation Holdings Certificate of Incorporation CBOE Holdings, Inc., a corporation organized under the laws of the State of Delaware (the "Corporation"), hereby certifies as follows: 1. The name of the Corporation

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13G. Under the Securities Exchange Act of (Amendment No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C SCHEDULE 13G. Under the Securities Exchange Act of (Amendment No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. _ ) * Smart & Final Stores, Inc. (Name of Issuer) Common Stock

More information

BRANDYWINE REALTY TRUST BYLAWS ARTICLE I OFFICES

BRANDYWINE REALTY TRUST BYLAWS ARTICLE I OFFICES BRANDYWINE REALTY TRUST BYLAWS ARTICLE I OFFICES Section 1. Principal Office. The principal office of Brandywine Realty Trust (the Trust ) shall be located at such place as the Board of Trustees may designate.

More information