0001140361-16-088865.txt : 20161205 0001140361-16-088865.hdr.sgml : 20161205 20161205214522 ACCESSION NUMBER: 0001140361-16-088865 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20161202 FILED AS OF DATE: 20161205 DATE AS OF CHANGE: 20161205 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AIRGAIN INC CENTRAL INDEX KEY: 0001272842 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 200281763 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3611 VALLEY CENTRE DRIVE STREET 2: SUITE 150 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: (760) 579-0200 MAIL ADDRESS: STREET 1: 3611 VALLEY CENTRE DRIVE STREET 2: SUITE 150 CITY: SAN DIEGO STATE: CA ZIP: 92130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NORTHWATER INTELLECTUAL PROPERTY FUND LP 1 CENTRAL INDEX KEY: 0001352439 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37851 FILM NUMBER: 162035084 BUSINESS ADDRESS: STREET 1: C/O NORTHWATER CAPITAL MGMT INC STREET 2: SUITE 4700 BCE PLACE 181BAY ST CITY: TORONTO STATE: A6 ZIP: 00000 BUSINESS PHONE: 4163606320 MAIL ADDRESS: STREET 1: C/O NORTHWATER CAPITAL MGMT INC STREET 2: SUITE 4700 BCE PLACE 181BAY ST CITY: TORONTO STATE: A6 ZIP: 00000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Northwater Capital Management Inc. CENTRAL INDEX KEY: 0001579503 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37851 FILM NUMBER: 162035085 BUSINESS ADDRESS: STREET 1: 181 BAY STREET STREET 2: SUITE 4700 CITY: TORONTO STATE: A6 ZIP: M5J2T3 BUSINESS PHONE: 416 360 2090 MAIL ADDRESS: STREET 1: 181 BAY STREET STREET 2: SUITE 4700 CITY: TORONTO STATE: A6 ZIP: M5J2T3 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Northwater Capital Inc. CENTRAL INDEX KEY: 0001579504 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37851 FILM NUMBER: 162035086 BUSINESS ADDRESS: STREET 1: 181 BAY STREET STREET 2: SUITE 4700 CITY: TORONTO STATE: A6 ZIP: M5J2T3 BUSINESS PHONE: 416 360 2090 MAIL ADDRESS: STREET 1: 181 BAY STREET STREET 2: SUITE 4700 CITY: TORONTO STATE: A6 ZIP: M5J2T3 4 1 doc1.xml FORM 4 X0306 4 2016-12-02 0 0001272842 AIRGAIN INC AIRG 0001579504 Northwater Capital Inc. 161 BAY STREET, SUITE 4000 TORONTO A6 M5J 2S1 ONTARIO, CANADA 0 0 1 1 Director by deputization*** 0001579503 Northwater Capital Management Inc. 161 BAY STREET, SUITE 4000 TORONTO A6 M5J 2S1 ONTARIO, CANADA 0 0 1 1 Director by deputization*** 0001352439 NORTHWATER INTELLECTUAL PROPERTY FUND LP 1 161 BAY STREET, SUITE 4000 TORONTO A6 M5J 2S1 ONTARIO, CANADA 0 0 1 1 Director by deputization*** Stock Option (right to buy) 2.60 2016-12-02 4 J 0 2000 0 D 2021-01-18 Common Stock 2000 6000 I See footnote Stock Option (right to buy) 2.30 2016-12-02 4 J 0 2000 0 D 2023-06-12 Common Stock 2000 6000 I See footnote Stock Option (right to buy) 3.10 2016-12-02 4 J 0 1000 0 D 2024-05-12 Common Stock 1000 3000 I See footnote Stock Option (right to buy) 1.60 2016-12-02 4 J 0 9323 0 D 2025-06-11 Common Stock 9323 27970 I See footnote Stock Option (right to buy) 1.90 2016-12-02 4 J 0 3357 0 D 2026-05-24 Common Stock 3357 10070 I See footnote See Exhibit 99.1; Note 1. See Exhibit 99.1; Note 2. *** Northwater Capital Inc., Northwater Capital Management Inc. and Northwater Intellectual Property Fund L.P. 1 are each a "director by deputization" solely for purposes of Section 16 of the Securities Exchange Act of 1934. Exhibit List: Exhibit 99.1 - Explanation of Responses Exhibit 99.2 - Joint Filer Information and Signature NORTHWATER CAPITAL INC.; By: /s/ Daniel Mills, Managing Director 2016-12-05 NORTHWATER CAPITAL INC.; By: /s/ David Patterson, Chair and Chief Executive Officer 2016-12-05 EX-99.1 2 n17935768a.htm EXPLANATION OF RESPONSES

Explanation of Responses:
(1)
Effective August 2016, Francis X. Egan is no longer associated with Northwater Capital Inc.  Mr. Egan agreed to assign his interest in the stock options reported herein to Frances Kordyback. Pursuant to an agreement between Ms. Kordyback and Northwater Capital Management Inc., a corporation formed under the laws of the Province Ontario (“NCMI”), NCMI is entitled under the agreement to all economic benefits of such stock options and all other stock options held by Ms. Kordyback.  NCMI has no right to the economic benefits of the stock options Mr. Egan continues to hold.
(2)
The option is fully vested.
EX-99.2 3 n17935768b.htm JOINT FILER INFORMATION AND SIGNATURE
 
 
Joint Filer Information and Signature
 
Joint Filers:
    
       
       
 
1. Name:
Northwater Capital Management Inc.
  
 
    Address:
161 Bay Street, Suite 4000, Toronto, Ontario, Canada M5J 2S1
  
       
   
NORTHWATER CAPITAL MANAGEMENT INC.
  
       
       
   
By:  /s/ Daniel Mills                                                                       
December 5, 2016
   
Name: Daniel Mills
  
   
Title: Managing Director
  
       
   
By:  /s/ David Patterson                                                    ___      
December 5, 2016
   
Name: David Patterson
  
   
Title: Chair and Chief Executive Officer
  
       
       
 
2. Name:
Northwater Intellectual Property Fund L.P. 1 
  
 
    Address: 
161 Bay Street, Suite 4000, Toronto, Ontario, Canada M5J 2S1
  
       
   
NORTHWATER INTELLECTUAL PROPERTY FUND L.P. 1
  
    BY: NORTHWATER IP 1 GP INC., ITS GENERAL PARTNER  
       
       
   
By:  /s/ Daniel Mills                                                                       
December 5, 2016
   
Name: Daniel Mills 
  
    Title: Managing Director  
       
   
By:  /s/ David Patterson                                                    ___      
December 5, 2016
   
Name: David Patterson
  
   
Title: Chair and Chief Executive Officer