0000746210-19-000064.txt : 20191114 0000746210-19-000064.hdr.sgml : 20191114 20191114074602 ACCESSION NUMBER: 0000746210-19-000064 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191001 FILED AS OF DATE: 20191114 DATE AS OF CHANGE: 20191114 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Underkoffler John CENTRAL INDEX KEY: 0001791033 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35376 FILM NUMBER: 191216365 MAIL ADDRESS: STREET 1: 923 E 3RD STREET STREET 2: 111 CITY: LOS ANGELES STATE: CA ZIP: 90013 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GLOWPOINT, INC. CENTRAL INDEX KEY: 0000746210 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE COMMUNICATIONS (NO RADIO TELEPHONE) [4813] IRS NUMBER: 770312442 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 999 18TH STREET STREET 2: SUITE 1350S CITY: DENVER STATE: CO ZIP: 80202 BUSINESS PHONE: 7207268333 MAIL ADDRESS: STREET 1: 999 18TH STREET STREET 2: SUITE 1350S CITY: DENVER STATE: CO ZIP: 80202 FORMER COMPANY: FORMER CONFORMED NAME: GLOWPOINT INC DATE OF NAME CHANGE: 20031112 FORMER COMPANY: FORMER CONFORMED NAME: WIRE ONE TECHNOLOGIES INC DATE OF NAME CHANGE: 20000606 FORMER COMPANY: FORMER CONFORMED NAME: VIEW TECH INC DATE OF NAME CHANGE: 19950418 3 1 wf-form3_157373554481414.xml FORM 3 X0206 3 2019-10-01 0 0000746210 GLOWPOINT, INC. GLOW 0001791033 Underkoffler John 999 18TH STREET SUITE 1350S DENVER CO 80202 0 1 0 0 Chief Technology Officer 6.0% Series D Convertible Preferred Stock common stock 1024030.0 D These shares of 6.0% Series D Convertible Preferred Stock (the "Preferred Stock") were issued to the reporting person in connection with the Agreement and Plan of Merger, dated September 12, 2019, by and among the Issuer, Oblong Industries, Inc. and Glowpoint Merger Sub II, Inc., a wholly-owned subsidiary of the Issuer, pursuant to which the Issuer acquired Oblong. The Preferred Stock was issued at an Accrued Value of $28.50 per share with a Conversion Price of $2.85 per share. As a result, each share of Preferred Stock is convertible into ten (10) shares of the Issuer's common stock, subject to and contingent upon the approval of the Issuer's stockholders and the NYSE American. The Preferred Stock has no expiration date. /s/ David C. Clark, Attorney-in-Fact for John Underkoffler 2019-11-14