<SEC-DOCUMENT>0001213900-16-014815-index.html : 20160707 <SEC-HEADER>0001213900-16-014815.hdr.sgml : 20160707 <ACCEPTANCE-DATETIME>20160707172517 ACCESSION NUMBER: 0001213900-16-014815 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 37 CONFORMED PERIOD OF REPORT: 20151015 ITEM INFORMATION: Entry into a Material Definitive Agreement ITEM INFORMATION: Termination of a Material Definitive Agreement ITEM INFORMATION: Bankruptcy or Receivership ITEM INFORMATION: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant ITEM INFORMATION: Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement ITEM INFORMATION: Unregistered Sales of Equity Securities ITEM INFORMATION: Material Modifications to Rights of Security Holders ITEM INFORMATION: Changes in Control of Registrant ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20160707 DATE AS OF CHANGE: 20160707 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-22563 FILM NUMBER: 161757281 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 </SEC-HEADER> <DOCUMENT> <TYPE>8-K <SEQUENCE>1 <FILENAME>f8k101515_sgblocksinc.htm <DESCRIPTION>CURRENT REPORT <TEXT> Document 1 - file: f8k101515_sgblocksinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-2.1 <SEQUENCE>2 <FILENAME>f8k101515ex2i_sgblocksinc.htm <DESCRIPTION>ORDER CONFIRMING DEBTORS AMENDED PLAN OF REORGANIZATION UNDER CHAPTER 11 OF THE BANKRUPTCY CODE. <TEXT> Document 2 - file: f8k101515ex2i_sgblocksinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-2.2 <SEQUENCE>3 <FILENAME>f8k101515ex2ii_sgblocksinc.htm <DESCRIPTION>DISCLOSURE STATEMENT FOR JOINT CHAPTER 11 PLAN OF REORGANIZATION FOR SG BLOCKS, INC., SG BUILDING BLOCKS, INC. AND ENDAXI INFRASTRUCTURE GROUP, INC. <TEXT> Document 3 - file: f8k101515ex2ii_sgblocksinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-2.3 <SEQUENCE>4 <FILENAME>f8k101515ex2iii_sgblocksinc.htm <DESCRIPTION>ORDER OF THE BANKRUPTCY COURT FOR THE SOUTHERN DISTRICT OF NEW YORK APPROVING THE DISCLOSURE STATEMENT AND SETTING PLAN OF REORGANIZATION CONFIRMATION DEADLINES <TEXT> Document 4 - file: f8k101515ex2iii_sgblocksinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-3.1 <SEQUENCE>5 <FILENAME>f8k101515ex3i_sgblocksinc.htm <DESCRIPTION>AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SG BLOCKS, INC. <TEXT> Document 5 - file: f8k101515ex3i_sgblocksinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-3.2 <SEQUENCE>6 <FILENAME>f8k101515ex3ii_sgblocksinc.htm <DESCRIPTION>CERTIFICATE OF DESIGNATIONS OF CONVERTIBLE PREFERRED STOCK FOR SG BLOCKS, INC. <TEXT> Document 6 - file: f8k101515ex3ii_sgblocksinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-4.1 <SEQUENCE>7 <FILENAME>f8k101515ex4i_sgblocksinc.htm <DESCRIPTION>DEBTOR IN POSSESSION CREDIT AGREEMENT, DATED AS OF OCTOBER 15, 2015, BY AND BETWEEN SG BLOCKS, INC., SG BUILDING BLOCKS, INC. AND ENDAXI INFRASTRUCTURE GROUP, INC., AS BORROWERS, AND HILLAIR CAPITAL INVESTMENTS L.P. <TEXT> Document 7 - file: f8k101515ex4i_sgblocksinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-4.2 <SEQUENCE>8 <FILENAME>f8k101515ex4ii_sgblocksinc.htm <DESCRIPTION>SENIOR SECURITY AGREEMENT, DATED AS OF OCTOBER 15, 2015, BY AND BETWEEN SG BLOCKS, INC., SG BUILDING BLOCKS, INC. AND ENDAXI INFRASTRUCTURE GROUP, INC., AS BORROWERS, AND HILLAIR CAPITAL MANAGEMENT LLC. <TEXT> Document 8 - file: f8k101515ex4ii_sgblocksinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-4.3 <SEQUENCE>9 <FILENAME>f8k101515ex4iii_sgblocksinc.htm <DESCRIPTION>12% ORIGINAL ISSUE DISCOUNT SENIOR SECURED CONVERTIBLE DEBENTURE, DATED AS OF JUNE 30, 2016, BY AND BETWEEN HILLAIR CAPITAL INVESTMENTS, L.P. AND SG BLOCKS, INC. <TEXT> Document 9 - file: f8k101515ex4iii_sgblocksinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-4.4 <SEQUENCE>10 <FILENAME>f8k101515ex4iv_sgblocksinc.htm <DESCRIPTION>SECURITY AGREEMENT, DATED AS OF JUNE 30, 2016, BY AND BETWEEN HILLAIR CAPITAL INVESTMENTS, SG BLOCKS, INC., AND SG BUILDING BLOCKS, INC. <TEXT> Document 10 - file: f8k101515ex4iv_sgblocksinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-4.5 <SEQUENCE>11 <FILENAME>f8k101515ex4v_sgblocksinc.htm <DESCRIPTION>GUARANTY AGREEMENT, DATED AS OF JUNE 30, 2016, BY AND BETWEEN HILLAIR CAPITAL INVESTMENTS, L.P, SG BLOCKS, INC. AND SG BUILDING BLOCKS, INC. <TEXT> Document 11 - file: f8k101515ex4v_sgblocksinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>12 <FILENAME>ex3i_001.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 12 - file: ex3i_001.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>13 <FILENAME>ex3ii_001.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 13 - file: ex3ii_001.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>14 <FILENAME>ex2i_1.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 14 - file: ex2i_1.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>15 <FILENAME>ex2i_2.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 15 - file: ex2i_2.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>16 <FILENAME>ex2i_3.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 16 - file: ex2i_3.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>17 <FILENAME>ex2i_4.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 17 - file: ex2i_4.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>18 <FILENAME>ex2i_5.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 18 - file: ex2i_5.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>19 <FILENAME>ex2i_6.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 19 - file: ex2i_6.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>20 <FILENAME>ex2i_7.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 20 - file: ex2i_7.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>21 <FILENAME>ex2i_8.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 21 - file: ex2i_8.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>22 <FILENAME>ex2i_9.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 22 - file: ex2i_9.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>23 <FILENAME>ex2i_10.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 23 - file: ex2i_10.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>24 <FILENAME>ex2i_11.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 24 - file: ex2i_11.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>25 <FILENAME>ex2i_12.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 25 - file: ex2i_12.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>26 <FILENAME>ex2i_13.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 26 - file: ex2i_13.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>27 <FILENAME>ex2i_14.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 27 - file: ex2i_14.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>28 <FILENAME>ex2i_15.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 28 - file: ex2i_15.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>29 <FILENAME>ex2i_16.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 29 - file: ex2i_16.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>30 <FILENAME>ex2i_17.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 30 - file: ex2i_17.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>31 <FILENAME>ex2i_18.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 31 - file: ex2i_18.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>32 <FILENAME>ex2i_19.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 32 - file: ex2i_19.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>33 <FILENAME>ex2i_20.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 33 - file: ex2i_20.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>34 <FILENAME>ex2i_21.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 34 - file: ex2i_21.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>35 <FILENAME>ex2i_22.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 35 - file: ex2i_22.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>36 <FILENAME>ex2i_23.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 36 - file: ex2i_23.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>37 <FILENAME>ex2i_24.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 37 - file: ex2i_24.jpg
</DOCUMENT> </SEC-DOCUMENT>