0001213900-16-017961.txt : 20161103 0001213900-16-017961.hdr.sgml : 20161103 20161103183259 ACCESSION NUMBER: 0001213900-16-017961 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161101 FILED AS OF DATE: 20161103 DATE AS OF CHANGE: 20161103 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: Kaufman Neal P CENTRAL INDEX KEY: 0001349462 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22563 FILM NUMBER: 161973191 MAIL ADDRESS: STREET 1: 14315 WEST HARDY ROAD CITY: HOUSTON STATE: TX ZIP: 77060 4 1 f4110116kaufman_sgblocks.xml OWNERSHIP DOCUMENT X0306 4 2016-11-01 0 0001023994 SG BLOCKS, INC. SGBX*** 0001349462 Kaufman Neal P C/O HILLAIR CAPITAL MANAGEMENT LLC 345 LORTON AVENUE, SUITE 303 BURLINGAME CA 94010 1 0 0 0 Stock Options (right to buy) 1.00 2016-11-01 4 A 0 50000 0 A 2016-10-31 Common Stock 50000 50000 D The options are exercisable at the greater of $1.00 and the fair market value, which will be determined within 90 days of the date of grant. The options were issued pursuant to the Issuer's Stock Option Plan. The options vest, subject to the Reporting Person's continued role as a director, in equal installments of 12,500 underlying shares of common stock on the last day of each fiscal quarter following the date of grant until the options are 100% vested *** The Issuer currently intends to apply for quotation or listing under this symbol in the future. /s/ Neal Kaufman 2016-11-03