0001781002-23-000032.txt : 20230425
0001781002-23-000032.hdr.sgml : 20230425
20230425162951
ACCESSION NUMBER: 0001781002-23-000032
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230424
FILED AS OF DATE: 20230425
DATE AS OF CHANGE: 20230425
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bleichroeder LP
CENTRAL INDEX KEY: 0001781002
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-29440
FILM NUMBER: 23845259
BUSINESS ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
STREET 2: 47TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10105
BUSINESS PHONE: 917-769-2999
MAIL ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
STREET 2: 47TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10105
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Identiv, Inc.
CENTRAL INDEX KEY: 0001036044
STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER PERIPHERAL EQUIPMENT, NEC [3577]
IRS NUMBER: 770444317
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2201 WALNUT AVENUE
STREET 2: SUITE 100
CITY: FREMONT
STATE: CA
ZIP: 94538
BUSINESS PHONE: 949-250-8888
MAIL ADDRESS:
STREET 1: 2201 WALNUT AVENUE
STREET 2: SUITE 100
CITY: FREMONT
STATE: CA
ZIP: 94538
FORMER COMPANY:
FORMER CONFORMED NAME: IDENTIVE GROUP, INC.
DATE OF NAME CHANGE: 20100616
FORMER COMPANY:
FORMER CONFORMED NAME: SCM MICROSYSTEMS INC
DATE OF NAME CHANGE: 19970319
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0407
4
2023-04-24
0
0001036044
Identiv, Inc.
INVE
0001781002
Bleichroeder LP
1345 AVENUE OF THE AMERICAS
47TH FLOOR
NEW YORK
NY
10105
0
0
1
0
0
Common Stock
2023-04-24
4
X
0
275000
3.5
A
2884495
I
See footnote
Warrant to Purchase Common Stock
3.5
2023-04-24
4
X
0
275000
D
Common Stock
275000
0
I
See footnote
On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured
subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April
Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a
per share exercise price of $3.50.
This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP
disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the
beneficial owner of the securities for purposes of Section 16 or for any other purposes.
Michael M. Kellen, Chairman and CO-CEO of Bleichroeder LP
2023-04-25