SEC FORM
4
SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
1. Name and Address of Reporting Person*
C/O PEGASUS CAPITAL ADVISORS, L.P. |
99 RIVER ROAD |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
WIRELESS RONIN TECHNOLOGIES INC
[ RNIN ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X |
Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year) 08/20/2014
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
08/20/2014 |
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A
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28,570,934 |
A |
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28,570,934 |
I |
See Footnotes
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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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 |
Common Stock Warrant (right to buy) |
$0.48
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08/20/2014 |
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A
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1,779,015 |
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08/20/2014 |
08/20/2019 |
Common Stock |
1,779,015 |
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1,779,015 |
I |
See Footnotes
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1. Name and Address of Reporting Person*
C/O PEGASUS CAPITAL ADVISORS, L.P. |
99 RIVER ROAD |
(Street)
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1. Name and Address of Reporting Person*
C/O PEGASUS CAPITAL ADVISORS, L.P. |
99 RIVER ROAD |
(Street)
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1. Name and Address of Reporting Person*
C/O PEGASUS CAPITAL ADVISORS, L.P. |
99 RIVER ROAD |
(Street)
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1. Name and Address of Reporting Person*
C/O PEGASUS CAPITAL ADVISORS, L.P. |
99 RIVER ROAD |
(Street)
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1. Name and Address of Reporting Person*
C/O PEGASUS CAPITAL ADVISORS, L.P. |
99 RIVER ROAD |
(Street)
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1. Name and Address of Reporting Person*
C/O PEGASUS CAPITAL ADVISORS, L.P. |
99 RIVER ROAD |
(Street)
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1. Name and Address of Reporting Person*
C/O PEGASUS CAPITAL ADVISORS, L.P. |
99 RIVER ROAD |
(Street)
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Explanation of Responses: |
Remarks: |
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CRAIG COGUT, Name: Craig Cogut /s/ Craig Cogut |
08/22/2014 |
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PEGASUS CAPITAL, L.L.C., Name: Craig Cogut, Title: President & Managing Member /s/ Craig Cogut |
08/22/2014 |
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PEGASUS INVESTORS IV GP, L.L.C., Name: Daniel Stencel, Title: Chief Financial Officer and Treasurer /s/ Daniel Stencel |
08/22/2014 |
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PEGASUS INVESTORS IV, L.P., By: Pegasus Investors IV GP, L.L.C., its general partner, Name: Daniel Stencel, Title: Chief Financial Officer and Treasurer /s/ Daniel Stencel |
08/22/2014 |
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PEGASUS PARTNERS IV, L.P., By: Pegasus Investors IV, L.P, its general partner, By: Pegasus Investors IV GP, L.L.C., its general partner, Name: Daniel Stencel, Title: Chief Financial Officer and Treasurer /s/ Daniel Stencel |
08/22/2014 |
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PEGASUS PARTNERS IV (AIV), L.P., By: Pegasus Investors IV, L.P, its general partner, By: Pegasus Investors IV GP, L.L.C., its general partner, Name: Daniel Stencel, Title: Chief Financial Officer and Treasurer /s/ Daniel Stencel |
08/22/2014 |
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PP IV BSH, LLC, Name: Daniel Stencel, Title: Treasurer /s/ Daniel Stencel |
08/22/2014 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* 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). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
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 Number. |
Exhibit 99
Form 4 Joint Filer Information
Name: Pegasus Capital, LLC
Address: C/O Pegasus Capital Advisors, L.P.
99 River Road
Cos Cob, CT 06807
Date of Event Requiring Statement: 08/20/14
Name: Pegasus Investors IV GP, L.L.C.
Address: C/O Pegasus Capital Advisors, L.P.
99 River Road
Cos Cob, CT 06807
Date of Event Requiring Statement: 08/20/14
Name: Pegasus Investors IV, L.P.
Address: C/O Pegasus Capital Advisors, L.P.
99 River Road
Cos Cob, CT 06807
Date of Event Requiring Statement: 08/20/14
Name: Pegasus Partners IV, L.P.
Address: C/O Pegasus Capital Advisors, L.P.
99 River Road
Cos Cob, CT 06807
Date of Event Requiring Statement: 08/20/14
Name: Pegasus Partners IV (AIV), L.P.
Address: C/O Pegasus Capital Advisors, L.P.
99 River Road
Cos Cob, CT 06807
Date of Event Requiring Statement: 08/20/14
Name: PP IV BSH, LLC
Address: C/O Pegasus Capital Advisors, L.P.
99 River Road
Cos Cob, CT 06807
Date of Event Requiring Statement: 08/20/14