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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | 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. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Warrants (Right to Buy) | $ 11.5 | 09/12/2014 | Â | P4 | 254 | Â | Â (1) | Â (1) | Common Stock | $ 0.3 | 12,754 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WRIGHT JOSEPH R JR C/O THE CHART GROUP, LP 555 FIFTH AVE, 19TH FLOOR NEW YORK, NY 10017 |
 X |  |  CEO |  |
/s/ Joseph Wright | 02/10/2015 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | On September 12, 2014, Mr. Wright acquired 254 warrants at a purchase price of $0.30 per warrant pursuant to a tender offer commenced in connection with a special meeting of stockholders of Chart Acquisition Corp. ("Chart") to approve, among other matters, an amendment to Chart's existing charter extending the date by which Chart must consummate its initial business combination (the "Business Combination") from September 13, 2014 to March 13, 2015. Each warrant is exercisable to purchase one share of common stock of Chart at an exercise price of $11.50 during the period commencing on the later of (i) December 19, 2013 or (ii) 30 days following the consummation of the Business Combination, and expiring on the fifth anniversary of the consummation of the Business Combination. |