0001493152-15-004006.txt : 20150825 0001493152-15-004006.hdr.sgml : 20150825 20150825183741 ACCESSION NUMBER: 0001493152-15-004006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150601 FILED AS OF DATE: 20150825 DATE AS OF CHANGE: 20150825 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CACHET FINANCIAL SOLUTIONS, INC. CENTRAL INDEX KEY: 0001487906 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 272205650 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 18671 LAKE DRIVE EAST STREET 2: SOUTHWEST TECH CENTER A CITY: MINNEAPOLIS STATE: MN ZIP: 55317 BUSINESS PHONE: 952-698-6980 MAIL ADDRESS: STREET 1: 18671 LAKE DRIVE EAST STREET 2: SOUTHWEST TECH CENTER A CITY: MINNEAPOLIS STATE: MN ZIP: 55317 FORMER COMPANY: FORMER CONFORMED NAME: DE Acquisition 2, Inc. DATE OF NAME CHANGE: 20100324 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bortel Investment Management LLC CENTRAL INDEX KEY: 0001651486 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-53925 FILM NUMBER: 151074365 BUSINESS ADDRESS: STREET 1: 13313 POINT RICHMOND BEACH ROAD NW CITY: GIG HARBOR STATE: WA ZIP: 98332 BUSINESS PHONE: 253-858-7866 MAIL ADDRESS: STREET 1: 13313 POINT RICHMOND BEACH ROAD NW CITY: GIG HARBOR STATE: WA ZIP: 98332 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bortel Peter CENTRAL INDEX KEY: 0001651488 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-53925 FILM NUMBER: 151074366 MAIL ADDRESS: STREET 1: 13313 POINT RICHMOND BEACH ROAD NW CITY: GIG HARBOR STATE: WA ZIP: 98332 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Tiburon Opportunity Fund, L.P. CENTRAL INDEX KEY: 0001490894 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-53925 FILM NUMBER: 151074367 BUSINESS ADDRESS: STREET 1: 13313 POINT RICHMOND BEACH ROAD NW CITY: GIG HARBOR STATE: WA ZIP: 98332 BUSINESS PHONE: 253-858-7866 MAIL ADDRESS: STREET 1: 13313 POINT RICHMOND BEACH ROAD NW CITY: GIG HARBOR STATE: WA ZIP: 98332 4 1 form-4.xml X0306 4 2015-06-01 0 0001487906 CACHET FINANCIAL SOLUTIONS, INC. CAFN 0001490894 Tiburon Opportunity Fund, L.P. 13313 POINT RICHMOND BEACH ROAD NW GIG HARBOR WA 98332 0 0 1 0 0001651486 Bortel Investment Management LLC 13313 POINT RICHMOND BEACH ROAD NW GIG HARBOR WA 98332 0 0 1 0 0001651488 Bortel Peter 13313 POINT RICHMOND BEACH ROAD NW GIG HARBOR WA 98332 0 0 1 0 Common stock 2015-06-01 4 P 0 1301717 0.00 A 2372900 I See footnote Common stock 2015-06-08 4 P 0 600 0.3992 A 2373500 I See footnote Common stock 2015-06-09 4 P 0 715 0.4000 A 2374215 I See footnote Common stock 2015-06-10 4 P 0 12500 0.3660 A 2386715 I See footnote Common stock 2015-06-12 4 P 0 102 0.5100 A 2386817 I See footnote Common stock 2015-06-16 4 P 0 398 0.4600 A 2387215 I See footnote Common stock 2015-06-22 4 P 0 2000 0.4200 A 2389215 I See footnote Common stock 2015-06-23 4 P 0 2000 0.4499 A 2391215 I See footnote Common stock 2015-06-24 4 P 0 9000 0.4058 A 2400215 I See footnote Common stock 2015-06-25 4 P 0 6000 0.4000 A 2406215 I See footnote Common stock 2015-06-30 4 P 0 2000 0.4650 A 2408215 I See footnote Common stock 2015-07-01 4 P 0 500 0.5999 A 2408715 I See footnote Common stock 2015-07-02 4 P 0 500 0.4799 A 2409215 I See footnote Common stock 2015-07-08 4 P 0 1000 0.4000 A 2410215 I See footnote Common stock 2015-07-10 4 P 0 1000 0.3900 A 2411215 I See footnote Common stock 2015-07-13 4 P 0 1000 0.3500 A 2412215 I See footnote Common stock 2015-07-14 4 P 0 2802 0.3583 A 2415017 I See footnote Common stock 2015-07-22 4 P 0 500 0.4399 A 2415517 I See footnote Common stock 2015-07-23 4 P 0 1000 0.4500 A 2416517 I See footnote Common stock 2015-07-27 4 P 0 800 0.4463 A 2417317 I See footnote Common stock 2015-07-28 4 P 0 2000 0.4075 A 2419317 I See footnote Common stock 2015-08-03 4 P 0 1000 0.4000 A 2420317 I See footnote Common stock 2015-08-04 4 P 0 500 0.4300 A 2420817 I See footnote Common stock 2015-08-05 4 P 0 500 0.4300 A 2421317 I See footnote Convertible preferred stock 0.45 2015-06-03 4 P 0 2500 A 2015-06-03 2020-06-03 Common stock 555556 2500 I See footnote Warrant to purchase common stock 0.4816 2015-06-03 4 P 0 571038 A 2015-06-03 2020-06-03 Common stock 571038 571038 I See footnote Tiburon Opportunity Fund, L.P. (the "Stockholder"), Bortel Investment Management LLC (the "General Partner"), and Peter Bortel are collectively referred to herein as the "Reporting Persons." The Stockholder directly owns the securities reported herein. The General Partner is the general partner of the Stockholder. Mr. Bortel is the managing member of the General Partner and controls the General Partner's activities. The General Partner and Mr. Bortel may be deemed to have beneficial ownership of the securities reported herein. Tiburon Opportunity Fund, L.P. effected a private purchase for $250,000 of 2,500 shares of convertible preferred stock (convertible into 555,556 shares of common stock) and a warrant to purchase 571,038 shares of common stock. /s/ Peter Bortel, as managing member of general partner of Tiburon Opportunity Fund, L.P. 2015-08-25 /s/ Peter Bortel, as managing member of Bortel Investment Management LLC 2015-08-25 /s/ Peter Bortel 2015-08-25