0000950142-19-000662.txt : 20190329 0000950142-19-000662.hdr.sgml : 20190329 20190329165929 ACCESSION NUMBER: 0000950142-19-000662 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190328 FILED AS OF DATE: 20190329 DATE AS OF CHANGE: 20190329 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: North Sound Management, Inc. CENTRAL INDEX KEY: 0001749646 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38358 FILM NUMBER: 19717380 BUSINESS ADDRESS: STREET 1: 115 EAST PUTNAM AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203-340-8300 MAIL ADDRESS: STREET 1: 115 EAST PUTNAM AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: North Sound Trading, LP CENTRAL INDEX KEY: 0001633979 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38358 FILM NUMBER: 19717381 BUSINESS ADDRESS: STREET 1: 115 EAST PUTNAM AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203-340-8400 MAIL ADDRESS: STREET 1: 115 EAST PUTNAM AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Miller Brian CENTRAL INDEX KEY: 0001749976 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38358 FILM NUMBER: 19717382 MAIL ADDRESS: STREET 1: 115 EAST PUTNAM AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: INSEEGO CORP. CENTRAL INDEX KEY: 0001022652 STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669] IRS NUMBER: 813377646 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 9605 SCRANTON ROAD STREET 2: SUITE 300 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 8588123400 MAIL ADDRESS: STREET 1: 9605 SCRANTON ROAD STREET 2: SUITE 300 CITY: SAN DIEGO STATE: CA ZIP: 92121 FORMER COMPANY: FORMER CONFORMED NAME: NOVATEL WIRELESS INC DATE OF NAME CHANGE: 20000726 4 1 es1900446_4-inseego.xml OWNERSHIP DOCUMENT X0306 4 2019-03-28 0 0001022652 INSEEGO CORP. INSG 0001749976 Miller Brian 115 EAST PUTNAM AVENUE GREENWICH CT 06830 1 0 1 0 0001633979 North Sound Trading, LP 115 EAST PUTNAM AVENUE GREENWICH CT 06830 1 0 1 0 0001749646 North Sound Management, Inc. 115 EAST PUTNAM AVENUE GREENWICH CT 06830 1 0 1 0 Common Stock 2019-03-28 4 M 0 1055425 2.52 A 10301995 I See Footnote Common Stock 60083 D Warrant (right to purchase) 2.52 2019-03-28 4 M 0 1055425 0 D 2019-02-06 2023-08-06 Common Stock 1055425 0 I See Footnote Warrant (right to purchase) 7.00 2019-03-28 4 A 0 625000 0 A 2019-09-28 2022-06-30 Common Stock 625000 625000 I See Footnote The shares and warrants are owned directly by North Sound Trading, LP, a Delaware partnership ("North Sound Trading"). Mr. Miller is the sole shareholder of North Sound Management, Inc., a Delaware corporation ("North Sound Management"), which in turn is the general partner of North Sound Trading. Mr. Miller and North Sound Management may be deemed to indirectly own the shares directly owned by North Sound Trading. Each of North Sound Trading and North Sound Management is deemed a director by deputization by virtue of their relationship with Mr. Miller, a director of the Issuer. The exercise of the warrant to acquire 1,055,425 shares of common stock and the acquisition of the warrant to acquire 625,000 shares of common stock are each transactions that are exempt from Section 16(b) pursuant to Section 16b-3. Of the 60,083 restricted stock units, 42,521 restricted stock units are scheduled to vest over a three-year period, with one-third vesting on each anniversary of the grant date through the third anniversary of the grant date. The remaining 17,562 restricted stock units are scheduled to vest in full on the first anniversary of the grant date. The restricted stock units convert into common stock on a one-for-one basis. The restricted stock units are owned directly by Brian Miller. /s/ Brian Miller 2019-03-29 /s/ Brian Miller, President of North Sound Management, Inc., acting as General Partner of North Sound Trading, LP 2019-03-29 /s/ Brian Miller, President of North Sound Management, Inc. 2019-03-29