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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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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(Print or Type Responses)
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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 1474 (9-02) | ||
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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 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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Warrant to purchase common stock | $12 | 10/03/2012 | D | 2,850,000 | (3) | (3) | Common Stock | 2,850,000 | (1) | 3,816,667 | D | ||||
| Warrant to purchase common stock | $12 | 10/03/2012 | D | 3,816,667 | (3) | (3) | Common Stock | 3,816,667 | (3) | 0 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| RLJ SPAC Acquisition, LLC C/O RLJ ACQUISITION, INC. 3 BETHESDA METRO CENTER, SUITE 1000 BETHESDA, MD 20814 |
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| /s/ Alan I. Annex, attorney in fact | 10/05/2012 | |
| ** Signature of Reporting Person |
Date
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| * | 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) | Contributed to RLJ Acquisition, Inc. (the "Issuer") immediately prior to the Merger (as defined below) in connection with the Contribution Agreement, dated October 3, 2012, by and between the Issuer and RLJ SPAC Acquisition, Inc. and in reliance upon the exemption from Section 16(b) of the Securities Exchange Act of 1934, as amended provided in Rule 16b-3 promulgated thereunder. |
| (2) | Disposed of in exchange for 3,215,011 shares of common stock, par value $0.001 per share, of RLJ Entertainment, Inc. ("RLJ Entertainment") in connection with the consummation on October 3, 2012 of the merger (the "Merger") of the Issuer with RLJ Merger Sub I, Inc., a wholly-owned subsidiary of RLJ Entertainment, pursuant to that certain Merger Agreement, dated as of April 2, 2012, by and between the Issuer, RLJ Entertainment, and Image Entertainment, Inc., as amended, and in reliance upon the exemption from Section 16(b) of the Securities Exchange Act of 1934, as amended provided in Rule 16b-3 promulgated thereunder. |
| (3) | The warrants, which were not exercisable prior to the consummation on October 3, 2012 of the Merger, were automatically converted in connection with the Merger into warrants to purchase common stock of RLJ Entertainment which expire on the earlier to occur of: (i) October 3, 2017 and (ii) the liquidation of RLJ Entertainment. |