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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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 1474 (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 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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
180 DEGREE CAPITAL CORP. /NY/ 7 N. WILLOW STREET SUITE 4B MONTCLAIR, NJ 07042 |
X |
/s/ 180 Degree Capital Corp. by Daniel B. Wolfe, President | 06/15/2017 | |
**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) | The issuance of additional shares in an underwritten public offering by the Issuer on June 15, 2017, decreased 180's ownership of the Issuer as of that date to 8.8 percent of the Issuer's outstanding Common Stock based upon 20,213,638 shares of common stock outstanding as of June 15, 2017, calculated by adding 15,838,638 shares of Common Stock outstanding as of May 9, 2017, as reported on the Issuer's quarterly report filed on Form 10-Q on May 15, 2017, to 4,375,000 shares of Common Stock issued in a underwritten public offering announced in a press release on June 15, 2017, available at http://www.globenewswire.com/news-release/2017/06/15/1024654/0/en/Adesto-Technologies-Corporation-Prices-Public-Offering-of-Common-Stock.html. 180 is therefore no longer subject to reporting under Section 16. |