0001096906-22-002112.txt : 20220901
0001096906-22-002112.hdr.sgml : 20220901
20220901134211
ACCESSION NUMBER: 0001096906-22-002112
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220901
FILED AS OF DATE: 20220901
DATE AS OF CHANGE: 20220901
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ANTHONY PAUL THOMAS
CENTRAL INDEX KEY: 0001323297
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38011
FILM NUMBER: 221220499
MAIL ADDRESS:
STREET 1: 22 VIA CANCION
CITY: SAN CLEMENTE
STATE: CA
ZIP: 92673
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CYNERGISTEK, INC
CENTRAL INDEX KEY: 0001011432
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389]
IRS NUMBER: 880350448
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 11940 JOLLYVILLE ROAD
STREET 2: SUITE 300-N
CITY: AUSTIN
STATE: TX
ZIP: 78759
BUSINESS PHONE: 9496140700
MAIL ADDRESS:
STREET 1: 11940 JOLLYVILLE ROAD
STREET 2: SUITE 300-N
CITY: AUSTIN
STATE: TX
ZIP: 78759
FORMER COMPANY:
FORMER CONFORMED NAME: AUXILIO INC
DATE OF NAME CHANGE: 20040622
FORMER COMPANY:
FORMER CONFORMED NAME: PEOPLEVIEW INC
DATE OF NAME CHANGE: 20040329
FORMER COMPANY:
FORMER CONFORMED NAME: E PERCEPTION INC
DATE OF NAME CHANGE: 20020118
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2022-09-01
1
0001011432
CYNERGISTEK, INC
CTEK
0001323297
ANTHONY PAUL THOMAS
11940 JOLLYVILLE ROAD
SUITE 300-N
AUSTIN
TX
78759
0
1
0
0
CFO, Secretary
Common Stock
2022-09-01
4
A
0
70000.0000
0.0000
A
327277.0000
D
Common Stock
2022-09-01
4
D
0
327277.0000
D
0.0000
D
Employee stock option (right to buy)
3.0000
2022-09-01
4
D
0
25000.0000
0
D
2026-02-03
Common Stock
25000.0000
0.0000
D
Warrant
3.0300
2022-09-01
4
D
0
25000.0000
0
D
2023-01-16
Common Stock
25000.0000
0.0000
D
Represents accelerated vesting and settlement of restricted stock units (RSUs) pursuant to the Merger Agreement (as defined below).
Disposed of pursuant to an Agreement and Plan of Merger, dated as of May 23, 2022 (the "Merger Agreement") by and among the Issuer, Clearwater Compliance LLC, a Tennessee limited liability company (the "Parent"), and Clearwater Compliance Acquisition Company I, a Delaware corporation and a wholly owned subsidiary of the Parent (the "Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly-owned subsidiary of Parent. Each share of common stock exchanged in the Merger will receive cash of $1.25 per share.
Pursuant to the terms of the Merger Agreement, this option, which fully vested on February 3, 2019, was canceled for no consideration at the effective time of the Merger because its exercise price exceeded the per share merger consideration of $1.25 per share.
Pursuant to the terms of the Merger Agreement, this warrant, which was fully vested as of the effective time of the Merger, was canceled for no consideration at the effective time of the Merger.
/s/ Paul Thomas Anthony
2022-09-01