Filing Details
- Accession Number:
- 0001564590-17-019227
- Form Type:
- 13G Filing
- Publication Date:
- 2017-10-04 16:48:13
- Filed By:
- Goldfarb Morris
- Company:
- Rlj Entertainment Inc. (NASDAQ:RLJE)
- Filing Date:
- 2017-10-04
- SEC Url:
- 13G Filing
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Morris Goldfarb | 62,922 | 549,809 | 549,809 | 3.78% |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
RLJ Entertainment, Inc.
(Name of Issuer)
Common Stock, par value $0.001
(Title of Class of Securities)
74965F104
(CUSIP Number)
October 3, 2017
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☐ Rule 13d-1(b)
☒ Rule 13d-1(c)
☐ Rule 13d-1(d)
| * | 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 the disclosures provided in a prior cover page. |
The information required in 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).
SCHEDULE 13G
| CUSIP No. |
| Page 2 of 4 |
| (1) | Names of reporting persons
Morris Goldfarb | ||
| (2) | Check the appropriate box if a member of a group (see instructions)
(a) ☐ (b) ☐ | ||
| (3) | SEC use only
| ||
| (4) | Citizenship or place of organization
United States | ||
| Number of | (5) | Sole voting power
62,922 | |
| shares beneficially owned by | (6) | Shared voting power
| |
| each reporting person | (7) | Sole dispositive power
549,809 | |
| with: | (8) | Shared dispositive power
| |
| (9) | Aggregate amount beneficially owned by each reporting person
549,809 | ||
| (10) | Check if the aggregate amount in Row (9) excludes certain shares (see instructions)
☐ | ||
| (11) | Percent of class represented by amount in Row (9)
3.78% | ||
| (12) | Type of reporting person (see instructions)
IN | ||
This Amendment No. 2 (this “Amendment”) to Schedule13G(the“Schedule13G”)relatestosharesofCommonStock,parvalue$0.001(the“CommonStock”),ofRLJEntertainment,Inc.,a Nevadacorporation(the“Issuer”),andisbeingfiledonbehalfofMorris Goldfarb, an individual (the “ReportingPerson”).AllsharesofCommonStockreportedinthis Amendment to Schedule13Gare held by Mr. Goldfarb.
Item1(a)NameofIssuer.
RLJ Entertainment, Inc.
Item1(b)AddressofIssuer’sPrincipalExecutiveOffices.
8515GeorgiaAvenue,Suite650
SilverSpring,Maryland20910
Item2(a)Name of Person Filing.
Morris Goldfarb
Item2(b)AddressofPrincipalBusinessOffice,or,ifnone,Residence.
c/o G-III Apparel Group, Ltd.
512 7th Avenue, 35th Floor
New York, NY 10018.
Item2(c)Citizenship or Place of Organization.
Mr. Goldfarb is anUnitedStatescitizen.
Item2(d)TitleofClassofSecurities.
Common Stock, par value $0.001 (the “Common Stock”).
Item2(e)CUSIPNumber.
74965F104
Item3Ifthisstatementisfiledpursuantto§§240.13d-1(b)or240.13d-2(b)or(c),checkwhetherthepersonfilingisa:
Not Applicable.
Item4Ownership.
|
| (a) | Mr. Goldfarb maybedeemedthebeneficialownersof 549,809sharesofCommonStock,whichconsistsof 62,922 shares of Common Stock, warrants exercisable to purchase 100,000 shares of Common Stock at an exercise price of $2.37 and Series D‑2 Convertible Preferred Stock, including accrued dividends, which can be converted into 386,887 shares of Common Stock at an exercise price of $3.00. |
|
| (b) | Mr. Goldfarb maybedeemedthebeneficialownersof 3.78%oftheoutstandingCommon Stock. This percentage was calculated based upon the sum of (A) 14,071,423 shares of Common Stock outstanding and(B) 486,887 shares of CommonStockissuable toMr. Goldfarb upon the exercise of warrants and the conversion of preferred stock. |
|
|
| (c) | Mr. Goldfarb has the sole power to vote 62,922 shares of Common Stock and has the sole power to dispose of 549,809 shares of Common Stock. |
|
Item5OwnershipofFivePercentorLessofaClass.
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following (X)
Item6OwnershipofMoreThanFivePercentonBehalfofAnotherPerson.
Not Applicable.
| Item7 | IdentificationandClassificationoftheSubsidiarywhichAcquiredtheSecurityBeingReportedOnbytheParentHolding Company. |
Not Applicable.
Item8IdentificationandClassificationofMembersoftheGroup.
Not Applicable.
Item9NoticeofDissolutionofGroup.
Not Applicable.
Item10Certification.
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.
SIGNATURE
Afterreasonableinquiryandtothebestofmyknowledgeandbelief,Icertifythattheinformationsetforthinthisstatementistrue,complete and correct.
Date:October 4,2017
/s/Morris Goldfarb
Morris Goldfarb