0001144204-16-112577.txt : 20160712 0001144204-16-112577.hdr.sgml : 20160712 20160712131406 ACCESSION NUMBER: 0001144204-16-112577 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160712 DATE AS OF CHANGE: 20160712 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SG BLOCKS, INC. CENTRAL INDEX KEY: 0001023994 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-LUMBER & OTHER CONSTRUCTION MATERIALS [5030] IRS NUMBER: 954463937 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3 COLUMBUS CIRCLE STREET 2: 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: (212) 520-6218 MAIL ADDRESS: STREET 1: 3 COLUMBUS CIRCLE STREET 2: 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: CDSI HOLDINGS INC DATE OF NAME CHANGE: 19990114 FORMER COMPANY: FORMER CONFORMED NAME: PC411 INC DATE OF NAME CHANGE: 19961001 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McAvoy Sean M CENTRAL INDEX KEY: 0001642615 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22563 FILM NUMBER: 161763636 MAIL ADDRESS: STREET 1: 345 LORTON AVENUE STREET 2: SUITE 303 CITY: BURLINGAME STATE: CA ZIP: 94010 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hillair Capital Management LLC CENTRAL INDEX KEY: 0001642616 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22563 FILM NUMBER: 161763637 BUSINESS ADDRESS: STREET 1: 345 LORTON AVENUE STREET 2: SUITE 303 CITY: BURLINGAME STATE: CA ZIP: 94010 BUSINESS PHONE: 415-306-6945 MAIL ADDRESS: STREET 1: 345 LORTON AVENUE STREET 2: SUITE 303 CITY: BURLINGAME STATE: CA ZIP: 94010 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hillair Capital Investments LP CENTRAL INDEX KEY: 0001536125 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22563 FILM NUMBER: 161763638 BUSINESS ADDRESS: STREET 1: 345 LORTON AVENUE STREET 2: SUITE 303 CITY: BURLINGAME STATE: CA ZIP: 94010 BUSINESS PHONE: 415-306-6945 MAIL ADDRESS: STREET 1: 345 LORTON AVENUE STREET 2: SUITE 303 CITY: BURLINGAME STATE: CA ZIP: 94010 3 1 v444005_3.xml OWNERSHIP DOCUMENT X0206 3 2016-06-30 0 0001023994 SG BLOCKS, INC. SGBX 0001536125 Hillair Capital Investments LP C/O HILLAIR CAPITAL MANGEMENT LLC 345 LORTON AVENUE, SUITE 303 BURLINGAME CA 94010 0 0 1 0 0001642616 Hillair Capital Management LLC C/O HILLAIR CAPITAL MANGEMENT LLC 345 LORTON AVENUE, SUITE 303 BURLINGAME CA 94010 0 0 1 0 0001642615 McAvoy Sean M C/O HILLAIR CAPITAL MANGEMENT LLC BURLINGAME CA 94010 0 0 1 0 Common Stock 25415 D Senior Convertible Secured Debentures 1.25 Common Stock 2000000 D Series A Convertible Preferred Stock 1.00 Common Stock 3352440 D The reported securities are owned directly by Hillair Capital Investments L.P., a Cayman Islands limited partnership ("Hillair Capital"), and indirectly by Hillair Capital Management LLC ("Hillair Management"), as the investment advisor of Hillair Capital, and Sean M. McAvoy, as the manager of Hillair Management. Hillair Management and Sean M. McAvoy disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. The Senior Convertible Secured Debentures became convertible on June 30, 2016 and expire on June 30, 2018, in the amount of $2,500,000 in principal amount plus any accrued and unpaid interest. The Series A Convertible Preferred Stock became convertible on June 30, 2016 and has a perpetual duration. Hillair Capital Investments L.P., /s/ Sean M. McAvoy, Authorized Signatory 2016-07-08 Hillair Capital Management LLC, /s/ Sean M. McAvoy, Authorized Signatory 2016-07-08 /s/ Sean M. McAvoy, Manager of Hillair Capital Investments L.P. 2016-07-08