0001213900-17-006811.txt : 20170623 0001213900-17-006811.hdr.sgml : 20170623 20170623193630 ACCESSION NUMBER: 0001213900-17-006811 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161228 FILED AS OF DATE: 20170623 DATE AS OF CHANGE: 20170623 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: 195 MONTAGUE STREET, 14TH FLOOR CITY: BROOKLYN STATE: NY ZIP: 11201 BUSINESS PHONE: (646) 240-4235 MAIL ADDRESS: STREET 1: 195 MONTAGUE STREET, 14TH FLOOR CITY: BROOKLYN STATE: NY ZIP: 11201 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: 001-38037 FILM NUMBER: 17928733 MAIL ADDRESS: STREET 1: 14315 WEST HARDY ROAD CITY: HOUSTON STATE: TX ZIP: 77060 4 1 f4122816kaufman_sgblocks.xml OWNERSHIP DOCUMENT X0306 4 2016-12-28 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 Option (right to buy) 3 2016-12-28 4 J 0 16667 0 D 2016-10-31 Common Stock 16667 0 D The exercise price and number of underlying shares of common stock reported herein reflect a 3-for-1 reverse stock split of the issuer's common stock and preferred stock effected on February 28, 2017. The Reporting Person assigned the options to Hillair Capital Investments LP, a Cayman Islands limited partnership, an affiliate of the Reporting Person. The options vest, subject to the Reporting Person's continued role as director, as to 25% of the underlying shares on the last day of each fiscal quarter following the date of grant until the options are 100% vested. The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's service as a director. /s/ Neal P. Kaufman 2017-06-23