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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Symmetricom, Inc. (MM) | NASDAQ:SYMM | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 7.18 | 0 | 01:00:00 |
FORM 4
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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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person
*
Phoenix Venture Fund LLC |
2. Issuer Name
and
Ticker or Trading Symbol
XPLORE TECHNOLOGIES CORP [ XPLR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__ X __ Director __ X __ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
110 EAST 59TH STREET, SUITE 1901 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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NEW YORK, NY 10022 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Acquired, Disposed of, or Beneficially Owned |
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1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 10/31/2012 | C | 1541430 | A | (1) (2) (3) | 1866714 (4) | D | |||
Common Stock | 10/31/2012 | C | 44795 | A | (2) (3) | 1940737 (5) | I | See Footnote (5) | ||
Common Stock | 10/31/2012 | C | 923023 | A | (1) (2) (3) | 2949440 (6) | I | See Footnote (6) |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. 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 |
7. Title and Amount of Securities Underlying Derivative Security
(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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Preferred Stock | (1) | 10/31/2012 | C | 31032014 (7) | 10/31/2012 | (8) | Common Stock | 1014508 | $0 | 0 | D | ||||
Series C Preferred Stock | (2) | 10/31/2012 | C | 3320000 (7) | 10/31/2012 | (8) | Common Stock | 159615 | $0 | 0 | D | ||||
Series D Preferred Stock | (3) | 10/31/2012 | C | 2380147 (7) (9) | 10/31/2012 | (8) | Common Stock | 367307 | $0 | 86000 | D | ||||
Series C Preferred Stock | (2) | 10/31/2012 | C | 200000 (2) | 10/31/2012 | (8) | Common Stock | 9615 | $0 | 0 | I | See Footnote (10) | |||
Series D Preferred Stock | (3) | 10/31/2012 | C | 227963 (3) (11) | 10/31/2012 | (8) | Common Stock | 35180 | $0 | 27500 | I | See Footnote (12) | |||
Series A Preferred Stock | (1) | 10/31/2012 | C | 13676370 (1) | 10/31/2012 | (8) | Common Stock | 447112 | $0 | 0 | I | See Footnote (13) | |||
Series C Preferred Stock | (2) | 10/31/2012 | C | 1000000 (2) | 10/31/2012 | (8) | Common Stock | 48077 | $0 | 0 | I | See Footnote (14) | |||
Series D Preferred Stock | (3) | 10/31/2012 | C | 2772364 (3) (15) | 10/31/2012 | (8) | Common Stock | 427834 | $0 | 81599 | I | See Footnote (16) |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
Phoenix Venture Fund LLC
110 EAST 59TH STREET SUITE 1901 NEW YORK, NY 10022 |
X | X |
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SG Phoenix LLC
110 EAST 59TH STREET SUITE 1901 NEW YORK, NY 10022 |
X | X |
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Phoenix Enterprises Family Fund, LLC
110 EAST 59TH STREET SUITE 1901 NEW YORK, NY 10022 |
X | X |
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ANDAX LLC
110 EAST 59TH STREET SUITE 1901 NEW YORK, NY 10022 |
X | X |
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SASSOWER PHILIP S
110 EAST 59TH STREET SUITE 1901 NEW YORK, NY 10022 |
X | X | Chief Executive Officer |
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Goren Andrea
110 EAST 59TH STREET SUITE 1901 NEW YORK, NY 10022 |
X | X |
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Signatures
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Phoenix Venture Fund LLC By: SG Phoenix Ventures LLC, its Managing Member By: /s/ Andrea Goren, Manager | 11/1/2012 | |
** Signature of Reporting Person |
Date
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SG Phoenix LLC By: /s/ Andrea Goren, Co-Manager | 11/1/2012 | |
** Signature of Reporting Person |
Date
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Phoenix Enterprises Family Fund LLC By: /s/ Philip Sassower, Managing Member | 11/1/2012 | |
** Signature of Reporting Person |
Date
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Andax LLC By: /s/ Andrea Goren, Managing Member | 11/1/2012 | |
** Signature of Reporting Person |
Date
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/s/ Philip S. Sassower | 11/1/2012 | |
** Signature of Reporting Person |
Date
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/s/ Andrea Goren | 11/1/2012 | |
** Signature of Reporting Person |
Date
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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 control number. |
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