0000899243-17-029338.txt : 20171220
0000899243-17-029338.hdr.sgml : 20171220
20171220174206
ACCESSION NUMBER: 0000899243-17-029338
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171204
FILED AS OF DATE: 20171220
DATE AS OF CHANGE: 20171220
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Feeney Patrick James
CENTRAL INDEX KEY: 0001723000
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38322
FILM NUMBER: 171267587
MAIL ADDRESS:
STREET 1: 1825 S. GRANT ST. SUITE 210
CITY: SAN MATEO
STATE: CA
ZIP: 94402
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: de Silva Richard
CENTRAL INDEX KEY: 0001662203
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38322
FILM NUMBER: 171267588
MAIL ADDRESS:
STREET 1: 1825 SOUTH GRANT STREET
STREET 2: SUITE 210
CITY: SAN MATEO
STATE: CA
ZIP: 94402
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lateral U.S. Credit Opportunities Fund, L.P.
CENTRAL INDEX KEY: 0001660532
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38322
FILM NUMBER: 171267590
BUSINESS ADDRESS:
STREET 1: 1825 SOUTH GRANT STREET
STREET 2: SUITE 210
CITY: SAN MATEO
STATE: CA
ZIP: 94402
BUSINESS PHONE: 650-396-2210
MAIL ADDRESS:
STREET 1: 1825 SOUTH GRANT STREET
STREET 2: SUITE 210
CITY: SAN MATEO
STATE: CA
ZIP: 94402
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LATERAL INVESTMENT MANAGEMENT, LLC
CENTRAL INDEX KEY: 0001665167
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38322
FILM NUMBER: 171267592
BUSINESS ADDRESS:
STREET 1: 1825 SOUTH GRANT STREET
STREET 2: SUITE 210
CITY: SAN MATEO
STATE: CA
ZIP: 94402
BUSINESS PHONE: 650-396-2210
MAIL ADDRESS:
STREET 1: 1825 SOUTH GRANT STREET
STREET 2: SUITE 210
CITY: SAN MATEO
STATE: CA
ZIP: 94402
FORMER NAME:
FORMER CONFORMED NAME: Lateral Global Investors LLC
DATE OF NAME CHANGE: 20160127
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lateral Credit Opportunities, LLC
CENTRAL INDEX KEY: 0001665168
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38322
FILM NUMBER: 171267589
BUSINESS ADDRESS:
STREET 1: 1825 SOUTH GRANT STREET
STREET 2: SUITE 210
CITY: SAN MATEO
STATE: CA
ZIP: 94402
BUSINESS PHONE: 650-396-2210
MAIL ADDRESS:
STREET 1: 1825 SOUTH GRANT STREET
STREET 2: SUITE 210
CITY: SAN MATEO
STATE: CA
ZIP: 94402
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lateral FTE Feeder LLC
CENTRAL INDEX KEY: 0001665214
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38322
FILM NUMBER: 171267591
BUSINESS ADDRESS:
STREET 1: 1825 SOUTH GRANT STREET
STREET 2: SUITE 210
CITY: SAN MATEO
STATE: CA
ZIP: 94402
BUSINESS PHONE: 650-396-2210
MAIL ADDRESS:
STREET 1: 1825 SOUTH GRANT STREET
STREET 2: SUITE 210
CITY: SAN MATEO
STATE: CA
ZIP: 94402
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: FTE Networks, Inc.
CENTRAL INDEX KEY: 0001122063
STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE COMMUNICATIONS (NO RADIO TELEPHONE) [4813]
IRS NUMBER: 810438093
STATE OF INCORPORATION: NV
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 999 VANDERBILT BEACH ROAD
STREET 2: SUITE 601
CITY: NAPLES
STATE: FL
ZIP: 34109
BUSINESS PHONE: 8778788136
MAIL ADDRESS:
STREET 1: 999 VANDERBILT BEACH ROAD
STREET 2: SUITE 601
CITY: NAPLES
STATE: FL
ZIP: 34109
FORMER COMPANY:
FORMER CONFORMED NAME: BEACON ENTERPRISE SOLUTIONS GROUP INC
DATE OF NAME CHANGE: 20080520
FORMER COMPANY:
FORMER CONFORMED NAME: SUNCREST GLOBAL ENERGY CORP
DATE OF NAME CHANGE: 20030625
FORMER COMPANY:
FORMER CONFORMED NAME: GALAXY SPECIALTIES INC
DATE OF NAME CHANGE: 20000816
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-12-04
0
0001122063
FTE Networks, Inc.
FTNW
0001665167
LATERAL INVESTMENT MANAGEMENT, LLC
1825 SOUTH GRANT STREET, SUITE 210
SAN MATEO
CA
94402-2672
0
0
1
0
0001665214
Lateral FTE Feeder LLC
1825 SOUTH GRANT STREET, SUITE 210
SAN MATEO
CA
94402-2672
0
0
1
0
0001660532
Lateral U.S. Credit Opportunities Fund, L.P.
1825 SOUTH GRANT STREET, SUITE 210
SAN MATEO
CA
94402-2672
0
0
1
0
0001665168
Lateral Credit Opportunities, LLC
1825 SOUTH GRANT STREET, SUITE 210
SAN MATEO
CA
94402-2672
0
0
1
0
0001662203
de Silva Richard
1825 SOUTH GRANT STREET, SUITE 210
SAN MATEO
CA
94402-2672
0
0
1
0
0001723000
Feeney Patrick James
1825 SOUTH GRANT STREET, SUITE 210
SAN MATEO
CA
94402-2672
0
0
1
0
Common Stock
2017-12-04
4
J
0
350538
A
701076
I
See footnotes
Common Stock
2017-12-04
4
J
0
350538
D
701076
I
See footnotes
Contractual right to receive Common Stock
2017-12-04
4
J
0
135986
D
Common Stock
135986
1127739
I
See footnotes
Contractual right to receive Common Stock
2017-12-04
4
J
0
135986
A
Common Stock
135986
1127739
I
See footnotes
Lateral FTE Feeder LLC, Lateral Investment Management, LLC and Lateral U.S. Credit Opportunities Fund, L.P. are the record holder of 486,524 shares, 254,734 shares, and 811,104 shares of Common Stock of the Issuer, respectively. In connection with certain lending arrangements, Lateral FTE Feeder LLC, Lateral Investment Management, LLC and Lateral U.S. Credit Opportunities Fund, L.P. hold certain contractual rights to be issued Common Stock, however, such shares have not yet been issued as of the date of this filing. Lateral Investment Management, LLC is the sole manager of Lateral FTE Feeder LLC, and Dhamitha Richard de Silva and Patrick Feeney are the sole managers of Lateral Investment Management, LLC.
(Continued from Footnote 1) As a result of the foregoing relationships, each of Lateral Investment Management, LLC, Dhamitha Richard de Silva and Patrick Feeney may be deemed to beneficially own the shares of Common Stock held by Lateral FTE Feeder LLC. On December 4, 2017, Lateral Investment Management, LLC served as the intermediary in a transaction between certain of Lateral FTE Feeder LLC's limited partners, and as a result, was, temporarily, a 100.0% owner of Lateral FTE Feeder LLC. The filing is being made to report the temporary change in pecuniary interest of Lateral Investment Management, LLC as a result of their direct ownership in Lateral FTE Feeder LLC. As of the date of this filing, Lateral Investment Management, LLC owns no interests in the other reporting persons.
(Continued from Footnote 2) Lateral Investment Management, LLC has a management agreement with Lateral U.S. Credit Opportunities Fund, L.P.; Lateral Credit Opportunities, LLC is the sole general partner of Lateral U.S. Credit Opportunities Fund, L.P.; and Dhamitha Richard de Silva and Patrick Feeney are the sole managers of Lateral Credit Opportunities, LLC. As a result of the foregoing relationships, each of Lateral Investment Management, LLC; Lateral Credit Opportunities, LLC; Dhamitha Richard de Silva and Patrick Feeney may be deemed to beneficially own the shares of Common Stock held by Lateral U.S. Credit Opportunities Fund, L.P.
Lateral Investment Management, LLC is the sole manager of Lateral FTE Feeder LLC and has a management agreement with Lateral U.S. Credit Opportunities Fund, L.P. Lateral Credit Opportunities, LLC is the sole general partner of Lateral U.S. Credit Opportunities Fund, L.P. Dhamitha Richard de Silva and Patrick Feeney are the sole managers of Lateral Investment Management, LLC and Lateral Credit Opportunities, LLC.
The right to receive Common Stock reported above is held by Lateral FTE Feeder LLC, Lateral Investment Management, LLC and Lateral U.S. Credit Opportunities Fund, L.P.
The Reporting Persons filing this Form 4 jointly are the following: Lateral Investment Management, LLC; Lateral FTE Feeder LLC; Lateral U.S. Credit Opportunities Fund, L.P.; Lateral Credit Opportunities, LLC; Dhamitha Richard de Silva and Patrick Feeney. The address of each of the Reporting Persons is 1825 South Grant Street, Suite 210, San Mateo, CA 94402-2672.
Kenneth Masters no longer has voting control of any of the reporting persons and, as a result, has been removed as a reporting person.
/s/ Dhamitha Richard de Silva
2017-12-20