Filing Details
- Accession Number:
- 0001179110-19-000181
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-01-03 14:15:30
- Reporting Period:
- 2018-11-14
- Accepted Time:
- 2019-01-03 14:15:30
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1356093 | Creative Realities Inc. | CREX | Services-Computer Integrated Systems Design (7373) | 411967918 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1664091 | Jr. M. Joseph Manko | 1717 Arch Street Suite 3920 Philadelphia PA 19103 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2018-11-15 | 142,850 | $3.50 | 308,923 | No | 4 | P | Indirect | By Horton Capital Partners Fund, LP ("HCPF") |
Common Stock | Acquisiton | 2018-11-15 | 116,118 | $7.65 | 425,041 | No | 4 | C | Indirect | By HCPF |
Common Stock | Acquisiton | 2018-11-19 | 204,220 | $0.00 | 629,261 | No | 4 | J | Indirect | By HCPF |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | By Horton Capital Partners Fund, LP ("HCPF") |
No | 4 | C | Indirect | By HCPF |
No | 4 | J | Indirect | By HCPF |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrant | Acquisiton | 2018-11-15 | 71,425 | $0.00 | 71,425 | $4.38 |
Common Stock | Series A Preferred Stock | Disposition | 2018-11-15 | 116,118 | $0.00 | 116,118 | $7.65 |
Common Stock | Warrant | Acquisiton | 2018-11-19 | 158,625 | $0.00 | 158,625 | $4.20 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
71,425 | 2018-11-14 | 2023-11-14 | No | 4 | P | Indirect |
0 | No | 4 | C | Indirect | ||
158,625 | 2018-11-19 | 2023-11-19 | No | 4 | J | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 0 | Direct |
Footnotes
- Common Stock and Warrants purchased together at $3.50 per share with 50% warrant coverage.
- Pursuant to investment management agreements, Horton Capital Management, LLC ("HCM") maintains investment and voting power with respect to shares of common stock of the issuer held by HCPF. However, despite the delegation of investment and voting power to HCM, Horton Capital Partners, LLC ("HCP") may be deemed to be the beneficial owner of such securities under Rule 13d-3 of the Securities Exchange Act of 1934, as amended, because HCP has the right to acquire investment and voting power through termination of investment management agreements with HCM. HCP is the general partner of HCPF. Mr. Manko is the managing member of both HCM and HCP.
- Common Stock and Warrants received as one-time incentives in connection with signing a lock-up agreement in connection with, and participation in, the Issuer's public offering. This also includes common stock issued in connection with the final dividend payment.
- Currently exercisable
- No expiration date