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GLOW Glowpoint Inc

2.08
0.00 (0.00%)
Last Updated: 01:00:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
Glowpoint Inc AMEX:GLOW AMEX Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 2.08 0 01:00:00

Initial Statement of Beneficial Ownership (3)

16/08/2013 9:46pm

Edgar (US Regulatory)


FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Main Street Capital CORP

2. Date of Event Requiring Statement (MM/DD/YYYY)
8/9/2013 

3. Issuer Name and Ticker or Trading Symbol

GLOWPOINT, INC. [GLOW]

(Last)        (First)        (Middle)

1300 POST OAK BLVD., 

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            ___ X ___ 10% Owner
_____ Officer (give title below)          _____ Other (specify below)

(Street)

HOUSTON, TX 77056       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

6. Individual or Joint/Group Filing (Check Applicable Line)

___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock   (1) 15276138   I   (2) By GP Investment Holdings, LLC  
Common Stock   (1) 47741   I   (3) By Main Street Mezzanine Fund, LP  
Common Stock   (1) 18362   I   (3) By Main Street Capital II, LP  
Common Stock   (1) 7345   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares

Explanation of Responses:
( 1)  This Form 3 is filed jointly by GP Investment Holdings, LLC ("GP Investment"), Main Street Capital Corporation ("MSCC"), Robert M. Shuford, Brian Pessin, Sandra Pessin and Norman Pessin (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his, hers or its pecuniary interest therein.
( 2)  Shares of Common Stock owned directly by GP Investment. As (i) the owner of 50% of the limited liability company interests of GP Investment, (ii) one of the two members of the board of managers and the Chief Executive Officer of GP Investment, (iii) one of the two members of the board of managers and the President of GP Investment and the owner of approximately 3.9% of the limited liability company interests of GP Investment, and (iv) the owners of approximately 46.1% of the limited liability company interests of GP Investment, respectively, each of MSCC, Robert M. Shuford, Brian Pessin and Sandra and Norman Pessin may be deemed to beneficially own the shares of Common Stock owned directly by GP Investment.
( 3)  Shares of Common Stock owned directly by a subsidiary of MSCC. MSCC may be deemed to beneficially own such shares of Common Stock.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Main Street Capital CORP
1300 POST OAK BLVD.
HOUSTON, TX 77056

X

Pessin Brian L.
366 MADISON AVENUE
14TH FLOOR
NEW YORK, NY 10017

X

PESSIN NORMAN H
366 MADISON AVENUE
14TH FLOOR
NEW YORK, NY 10017

X

PESSIN SANDRA F
366 MADISON AVENUE
14TH FLOOR
NEW YORK, NY 10017

X

GP Investment Holdings, LLC
1300 POST OAK BLVD.
HOUSTON, TX 77056

X

Shuford Robert M
1300 POST OAK BLVD.
HOUSTON, TX 77056

X


Signatures
/s/ Jason B. Beauvais as Attorney-in-Fact for Brian Pessin, Norman H. Pessin, Sandra Pessin, Robert Shuford 8/16/2013
** Signature of Reporting Person Date

Jason B. Beauvais as Attorney-in-Fact for Brian Pessin 8/9/2013
** Signature of Reporting Person Date

Jason B. Beauvais as Attorney-in-Fact for Norman H. Pessin 8/9/2013
** Signature of Reporting Person Date

Jason B. Beauvais as Attorney-in-Fact for Sandra Pessin 8/9/2013
** Signature of Reporting Person Date

Jason B. Beauvais as Attorney-in-Fact for GP Investment Holdings, LLC 8/9/2013
** Signature of Reporting Person Date

Jason B. Beauvais as Attorney-in-Fact for Robert M. Shuford 8/9/2013
** 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 5(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 control number.

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