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1
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NAME OF REPORTING PERSON
Nokomis Capital, L.L.C.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ☐ (b) ☐
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS
AF/OO
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5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
☐
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
Texas
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
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7
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SOLE VOTING POWER
0
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8
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SHARED VOTING POWER
13,020,777
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9
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SOLE DISPOSITIVE POWER
0
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|||
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10
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SHARED DISPOSITIVE POWER
13,020,777
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
13,020,777
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12
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
☐
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||||
13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.9%
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||||
14
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TYPE OF REPORTING PERSON
IA, OO
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1
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NAME OF REPORTING PERSON
Brett Hendrickson
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ☐ (b) ☐
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||||
3
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SEC USE ONLY
|
||||
4
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SOURCE OF FUNDS
AF/OO
|
||||
5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
☐
|
||||
6
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CITIZENSHIP OR PLACE OF ORGANIZATION
Texas
|
||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
|
|
7
|
|
SOLE VOTING POWER
0
|
||
|
8
|
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SHARED VOTING POWER
13,020,777
|
|||
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9
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SOLE DISPOSITIVE POWER
0
|
|||
|
10
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SHARED DISPOSITIVE POWER
13,020,777
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|||
11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
13,020,777
|
||||
12
|
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
☐
|
||||
13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.9%
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||||
14
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TYPE OF REPORTING PERSON
HC, IN
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ITEM 3.
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SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
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ITEM 4.
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PURPOSE OF TRANSACTION
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ITEM 5.
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INTEREST IN SECURITIES OF THE ISSUER
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ITEM 6.
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CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER
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ITEM 7.
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MATERIAL TO BE FILED AS EXHIBITS
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Exhibit 99.1
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Waiver Agreement, by and between Nokomis Capital Master Fund, LP and Sequans Communications S.A., dated October 5, 2020.
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NOKOMIS CAPITAL, L.L.C.
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By:
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/s/ Brett Hendrickson
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Brett Hendrickson
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Manager
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/s/ Brett Hendrickson
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Brett Hendrickson
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Nokomis Accounts
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|||||||||||
Nature of Transaction
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American Depositary Shares
Purchased/(Sold) |
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Price Per
Share ($) |
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Date of
Purchase / Sale |
|
|||
Sell
|
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(1,763)
|
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$
|
6.8958
|
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08/07/2020
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Sell
|
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(8,979)
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$
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6.5582
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08/10/2020
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Sell
|
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(17,787)
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$
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6.7338
|
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08/11/2020
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Sell
|
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(14,469)
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$
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6.801
|
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08/12/2020
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Sell
|
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(18,627)
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$
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6.8081
|
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08/13/2020
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Sell
|
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(284)
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$
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6.92
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08/17/2020
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Sell
|
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(1,604)
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$
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6.1369
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08/31/2020
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Sell
|
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(22,955)
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$
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6.3227
|
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09/01/2020
|
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Sell
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(20,014)
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$
|
6.3645
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09/02/2020
|
||||||||
Sell
|
(11,160)
|
$
|
6.3669
|
09/03/2020
|
||||||||
Sell
|
(5,346)
|
$
|
6.1229
|
09/04/2020
|
||||||||
Sell
|
(11,984)
|
$
|
6.1217
|
09/08/2020
|
||||||||
Sell
|
(8,096)
|
$
|
6.2148
|
09/09/2020
|
||||||||
Sell
|
(5,865)
|
$
|
6.2056
|
09/10/2020
|
||||||||
Sell
|
(300)
|
$
|
6.0967
|
09/14/2020
|
||||||||
Sell
|
(3,365)
|
$
|
6.1289
|
09/15/2020
|
||||||||
Sell
|
(13,387)
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$
|
6.2212
|
09/16/2020
|
||||||||
Sell
|
(3,885)
|
$
|
6.1874
|
09/17/2020
|
||||||||
Sell
|
(12,000)
|
$
|
6.2048
|
09/18/2020
|
•
|
Convertible Promissory Note, dated April 14, 2015, by and between Sequans Communications, S.A., a société anonyme incorporated in the French Republic and Nokomis
Capital Master Fund, LP, as amended
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•
|
Convertible Promissory Note, dated April 27, 2016, by and between Sequans Communications, S.A., a société anonyme incorporated in the French Republic and Nokomis
Capital Master Fund, LP , as amended
|
•
|
Convertible Promissory Note, dated September 27, 2018, by and between Sequans Communications, S.A., a société anonyme incorporated in the French Republic and
Nokomis Capital Master Fund, LP, as amended
|
•
|
Convertible Promissory Note, dated May 7, 2019, by and between Sequans Communications, S.A., a société anonyme incorporated in the French Republic and Nokomis
Capital Master Fund, LP, as amended
|
•
|
Convertible Promissory Note, dated August 16, 2019, by and between Sequans Communications, S.A., a société anonyme incorporated in the French Republic and Nokomis
Capital Master Fund, LP, as amended
|