0001493152-17-011452.txt : 20171010 0001493152-17-011452.hdr.sgml : 20171010 20171010170026 ACCESSION NUMBER: 0001493152-17-011452 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171005 FILED AS OF DATE: 20171010 DATE AS OF CHANGE: 20171010 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROGERS THOMAS S CENTRAL INDEX KEY: 0001264973 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-55821 FILM NUMBER: 171131037 MAIL ADDRESS: STREET 1: C/O TIVO INC STREET 2: 2160 GOLD ST CITY: ALVISO STATE: CA ZIP: 95002 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Frankly Inc CENTRAL INDEX KEY: 0001688667 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING, DATA PROCESSING, ETC. [7370] IRS NUMBER: 981230527 STATE OF INCORPORATION: A1 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 333 BRYANT STREET, SUITE 240 CITY: SAN FRANCISCO STATE: CA ZIP: 94107 BUSINESS PHONE: 415-861-9797 MAIL ADDRESS: STREET 1: 333 BRYANT STREET, SUITE 240 CITY: SAN FRANCISCO STATE: CA ZIP: 94107 4 1 form4.xml X0306 4 2017-10-05 0 0001688667 Frankly Inc FKLY 0001264973 ROGERS THOMAS S 333 BRYANT STREET, SUITE 310 SAN FRANCISCO, CA 94107 1 0 0 0 Restricted stock units convertible into common shares 2017-10-05 4 A 0 5000 A Restricted Stock Unit 5000 7943 D This amount excludes 2,940 RSUs that converted automatically into 2,940 common shares of the Issuer upon vesting of the RSUs on September 30, 2017. The RSUs shall become vested on the earlier of (a) March 31, 2018, or (b) the conclusion of the Company's Strategic Review Process, which shall be the date that the Company's board of directors dissolves the Strategic Review Committee. The Strategic Review Committee is working with outside advisors to consider strategic alternatives, which may include raising funds from strategic sources. However, no portion of the RSUs granted hereunder shall vest until the amendments to the Issuer's Amended and Restated Equity Incentive Plan, to be presented for approval at the 2017 Shareholder's Annual Meeting, have received all required regulatory and shareholder approval. /s/ Thomas Rogers 2017-10-10