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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants (right to buy) | $ 1.8 | 12/29/2017 | 12/29/2022 | Class A Common Stock | 1,400,000 | 1,400,000 | I | See Footnotes (1) (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Xu Peixin 40 LIANGMAQIAO ROAD, 21ST CENTURY PLAZA B-609 BEIJING, F4 100125 |
X | X |
/s/ Peixin Xu | 12/19/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The Reporting Person is the spouse of the sole owner of Bison Capital Holding Company Limited, which indirectly owns 19,666,667 shares of Cinedigm Corp. through Bison Entertainment Investment Limited, a wholly owned subsidiary of Bison Capital Holding Company Limited. |
(2) | Warrants held by Bison Entertainment and Media Group ("BEMG"). The warrants to purchase up to 1,400,000 shares of Class A Common Stock of the Company were issued by Cinedigm Corp. (the "Compnay") to BEMG on December 29, 2017 in connection wtih its agreement to make a loan to the Company in the principal amount of US$10,000,000. |
(3) | Includes 43,103 shares of Class A Common Stock issued on December 12, 2018 as part of the annual retainer for board service by the Reporting Person for the period from October 1, 2018 to September 30, 2019. Such shares vest as follows: 10,776 on each of December 31, 2018, March 31, 2019 and June 30, 2019 and 10,775 on September 30, 2019, so long as the Reporting Person is a director on each such date. |