SECURITIES & EXCHANGE COMMISSION EDGAR FILING
GLOWPOINT, INC.
Form: 144
Date Filed: 2019-09-20
Corporate Issuer CIK: 746210
© Copyright 2019, Issuer Direct Corporation. All Right Reserved. Distribution of this document is strictly prohibited, subject to the terms of use.
UNITED STATES | OMB APPROVAL | ||||||||
SECURITIES AND EXCHANGE COMMISSION | OMB Number: | 3235-0101 | |||||||
Washington, D.C. 20549 | Expires: | June 30, 2020 | |||||||
Estimated average burden | |||||||||
FORM 144 | hours per | 1.00 | |||||||
response | |||||||||
NOTICE OF PROPOSED SALE OF SECURITIES | SEC USE ONLY | ||||||||
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 | DOCUMENT SEQUENCE | ||||||||
NO. | |||||||||
CUSIP NUMBER | |||||||||
ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or | 379887508 | ||||||||
executing a sale directly with a market maker. | |||||||||
1 (a) NAME OF ISSUER (Please type or print) | (b) IRS IDENT. NO. | (c) S.E.C. FILE NO | WORK LOCATION | ||||||
Glowpoint, Inc. | 77-0312442 | 001-35376 | |||||||
1 (d) ADDRESS OF ISSUER | STREET | CITY | STATE | ZIP CODE | (e) TELEPHONE NO | ||||
999 18th Street, Suite 1350S | Denver | CO | 80202 | 303-640-3838 | |||||
2 (a) NAME OF PERSON FOR WHOSE | (b) | (c) ADDRESS STREET | CITY | STATE | ZIP CODE | ||||
ACCOUNT THE SECURITIES ARE TO BE | RELATIONSHIP | ||||||||
SOLD | TO ISSUER | ||||||||
Sandra F Pessin | affiliate | 400 E 51ST ST, Ph 31 | New York | NY | 10022-8028 | ||||
INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
3 (a) | (b) | SEC USE ONLY (c) | (d) | (e) | (f) | (g) | |
Title of the | Name and Address of Each | Broker-Dealer | Number of | Aggregate | Number of | Approximate | Name of Each |
Class of | Broker Through Whom the | File Number | Shares | Market | Shares | Date of Sale | Securities |
Securities To | Securities are to be Offered or | or Other Units | Value | or Other Units | (See instr. 3(f)) | Exchange | |
Be Sold | Each Market Maker who is | To Be Sold | (See instr. 3(d)) | Outstanding | (MO. DAY YR.) | (See instr. 3(g)) | |
Acquiring the Securities | (See instr. 3(c)) | (See instr. 3(e)) |
Monarch Capital Group, LLC | ||||||
Common | 500 Fifth Ave, Suite 2240 | 50,920 | $49,000 | 5,092,000 | 09/20/2019 | AMEX |
New York, NY 10110 |
INSTRUCTIONS: | ||||
1. (a) | Name of issuer | 3. (a) | Title of the class of securities to be sold | |
(b) | Issuer's I.R.S. Identification Number | (b) | Name and address of each broker through whom the securities are intended to be sold | |
(c) | Issuer's S.E.C. file number, if any | (c) | Number of shares or other units to be sold (if debt securities, give the aggregate face | |
amount) | ||||
(d) | Issuer's address, including zip code | (d) | Aggregate market value of the securities to be sold as of a specified date within 10 days | |
prior to filing of this notice | ||||
(e) | Issuer's telephone number, including | (e) | Number of shares or other units of the class outstanding, or if debt securities the face | |
area code | amount thereof outstanding, as shown by the most recent report or statement published by | |||
the issuer | ||||
(f) | Approximate date on which the securities are to be sold | |||
2. (a) | Name of person for whose account the | (g) | Name of each securities exchange, if any, on which the securities are intended to be sold | |
securities are to be sold | ||||
(b) | Such person's relationship to the issuer | |||
(e.g., officer, director, 10% stockholder, | ||||
or member of immediate family of any | ||||
of the foregoing) | ||||
(c) | Such person's address, including zip | |||
code | ||||
Potential persons who are to respond to the collection of information contained in this form are not required to | SEC 1147 (08- | |||
respond unless the form displays a currently valid OMB control number. | 07) | |||
TABLE I - SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:
Name of Person from Whom | ||||||
Acquired | Amount of | |||||
Title of | Date you | (If gift, also give date donor | Securities | Date of | Nature of | |
the Class | Acquired | Nature of Acquisition Transaction | acquired) | Acquired | Payment | Payment |
Common Stock | 08/07/2013 | private placement | issuer | 50,920 | 08/7/2013 | cash transfer |
INSTRUCTIONS: If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.
TABLE II - SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are
to be sold.
Amount of | ||||
Name and Address of Seller | Title of Securities Sold | Date of Sale | Securities Sold | Gross Proceeds |
none
EXPLANATION OF RESPONSES:
REMARKS:
INSTRUCTIONS:
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
09/20/2019
DATE OF NOTICE
DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION,
IF RELYING ON RULE 10B5-1
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Sandra F Pessin
(SIGNATURE)
The notice shall be signed by the person for whose account the securities are to
be sold. At least one
copy of the notice shall be manually signed. Any copies not manually signed
shall bear typed or printed signatures.
ATTENTION: | Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) |
SEC 1147 (02-08)
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Glowpoint Inc. published this content on 20 September 2019 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 20 September 2019 18:16:03 UTC