0001179110-20-006896.txt : 20200603 0001179110-20-006896.hdr.sgml : 20200603 20200603163707 ACCESSION NUMBER: 0001179110-20-006896 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200601 FILED AS OF DATE: 20200603 DATE AS OF CHANGE: 20200603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MILLS RICHARD C CENTRAL INDEX KEY: 0001076128 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33169 FILM NUMBER: 20940516 MAIL ADDRESS: STREET 1: C/O POMEROY COMPUTER RESOURCES INC STREET 2: 1020 PETERSBURG ROAD CITY: HEBRON STATE: KY ZIP: 41048 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CREATIVE REALITIES, INC. CENTRAL INDEX KEY: 0001356093 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER INTEGRATED SYSTEMS DESIGN [7373] IRS NUMBER: 411967918 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 13100 MAGISTERIAL DRIVE STREET 2: SUITE 100 CITY: LOUISVILLE STATE: KY ZIP: 40223 BUSINESS PHONE: 502-791-8800 MAIL ADDRESS: STREET 1: 13100 MAGISTERIAL DRIVE STREET 2: SUITE 100 CITY: LOUISVILLE STATE: KY ZIP: 40223 FORMER COMPANY: FORMER CONFORMED NAME: WIRELESS RONIN TECHNOLOGIES INC DATE OF NAME CHANGE: 20060313 4 1 edgar.xml FORM 4 - X0306 4 2020-06-01 0 0001356093 CREATIVE REALITIES, INC. CREX 0001076128 MILLS RICHARD C 13100 MAGISTERIAL DRIVE, SUITE 100 LOUISVILLE KY 40223 1 1 0 0 Chief Executive Officer Common Stock 702259 D Common Stock 87976 I By RFK Communications, LLC Stock Options (right to buy) 2.53 2020-06-01 4 D 0 480000 0 D 2030-05-20 Common Stock 480000 0 D Stock Options (right to buy) 2.53 2020-06-01 4 A 0 480000 0 A 2030-06-01 Common Stock 480000 480000 D The Reporting Person is a principal of RFK Communications, LLC and has voting and investment power for this entity. This transaction involves a rescission of a prior grant pursuant to an agreement dated June 1, 2020 between the Company and the Reporting Person in connection with securities granted which were in excess of the limits authorized by the Company's 2014 Stock Incentive Plan. As of the date of rescission, the forfeited options to acquire 480,000 shares were not vested. The options were granted pursuant to an agreement dated June 1, 2020 between the Company and the Reporting Person and are subject to approval by Company's stockholders of an amendment to its 2014 Stock Incentive Plan (the "Amendment"). If the Amendment is approved by stockholders, options to acquire 480,000 shares will vest in three equal installments of 160,000 each on 6/1/2021, 6/1/2022 and 6/1/2023. The grant was approved in accordance with Rule 16b-3(d) of the Securities Exchange Act of 1934 (the "1934 Act"), and in accordance with Rule 16b-3(a) of the 1934 Act is exempt from Section 16(b) of the 1934 Act. Exhibit 24.1 Power of Attorney filed with Form 4 dated 9/18/2019 and incorporated herein by reference. /s/ Will Logan as Attorney-in-Fact for Richard Mills 2020-06-03