0001535264-16-000172.txt : 20161208
0001535264-16-000172.hdr.sgml : 20161208
20161208160915
ACCESSION NUMBER: 0001535264-16-000172
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161121
FILED AS OF DATE: 20161208
DATE AS OF CHANGE: 20161208
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: hopTo Inc.
CENTRAL INDEX KEY: 0001021435
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 133899021
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1901 S. BASCOM AVENUE
STREET 2: SUITE 660
CITY: CAMPBELL
STATE: CA
ZIP: 95008
BUSINESS PHONE: 8004727466
MAIL ADDRESS:
STREET 1: 1901 S. BASCOM AVENUE
STREET 2: SUITE 660
CITY: CAMPBELL
STATE: CA
ZIP: 95008
FORMER COMPANY:
FORMER CONFORMED NAME: GRAPHON CORP/DE
DATE OF NAME CHANGE: 19990727
FORMER COMPANY:
FORMER CONFORMED NAME: UNITY FIRST ACQUISITION CORP
DATE OF NAME CHANGE: 19960823
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: AWM Investment Company, Inc.
CENTRAL INDEX KEY: 0001535264
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21683
FILM NUMBER: 162041518
BUSINESS ADDRESS:
STREET 1: 527 MADISON AVENUE
STREET 2: SUITE 2600
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-319-6670
MAIL ADDRESS:
STREET 1: 527 MADISON AVENUE
STREET 2: SUITE 2600
CITY: NEW YORK
STATE: NY
ZIP: 10022
3
1
primary_doc.xml
PRIMARY DOCUMENT
X0206
3
2016-11-21
0
0001021435
hopTo Inc.
HPTO
0001535264
AWM Investment Company, Inc.
527 MADISON AVENUE
SUITE 2600
NEW YORK
NY
10022
0
0
1
0
Common Stock
981162
I
By Limited Partnerships
Warrants
15
2013-06-18
2018-06-18
Common Stock
91667
I
By Limited Partnerships
AWM Investment Company, Inc., a Delaware Corporation (AWM), is the investment adviser to Special Situations Technology Fund, L.P. (TECH) and Special Situations Technology Fund II, L.P. (TECH II and together TECH, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 161,101 shares of Common Stock of the Issuer (the Shares) held by TECH and 820,061 Shares held by TECH II. Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
AWM Investment Company, Inc., a Delaware Corporation (AWM), is the investment adviser to Special Situations Technology Fund, L.P. (TECH) and Special Situations Technology Fund II, L.P. (TECH II and together with TECH, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 190,000 Warrants to purchase 12,667 Shares held by TECH and 1,185,000 Warrants to purchase 79,000 Shares held by TECH II. The Warrants described herein may be exercised to the extent that the total number of shares of Common Stock then beneficially owned does not exceed 9.99% of the outstanding shares.
Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. Marxe, Greenhouse and Stettner previously reported the Shares held by the Funds on Form 3. Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Adam C. Stettner
2016-12-08