0000899243-17-026665.txt : 20171116 0000899243-17-026665.hdr.sgml : 20171116 20171116195717 ACCESSION NUMBER: 0000899243-17-026665 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151028 FILED AS OF DATE: 20171116 DATE AS OF CHANGE: 20171116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Masters Kenneth M. CENTRAL INDEX KEY: 0001665251 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-31355 FILM NUMBER: 171209373 MAIL ADDRESS: STREET 1: 1825 SOUTH GRANT STREET STREET 2: SUITE 210 CITY: SAN MATEO STATE: CA ZIP: 94402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Feeney Patrick James CENTRAL INDEX KEY: 0001723000 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-31355 FILM NUMBER: 171209374 MAIL ADDRESS: STREET 1: 1825 S. GRANT ST. SUITE 210 CITY: SAN MATEO STATE: CA ZIP: 94402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: de Silva Richard CENTRAL INDEX KEY: 0001662203 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-31355 FILM NUMBER: 171209375 MAIL ADDRESS: STREET 1: 1825 SOUTH GRANT STREET STREET 2: SUITE 210 CITY: SAN MATEO STATE: CA ZIP: 94402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lateral U.S. Credit Opportunities Fund, L.P. CENTRAL INDEX KEY: 0001660532 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-31355 FILM NUMBER: 171209377 BUSINESS ADDRESS: STREET 1: 1825 SOUTH GRANT STREET STREET 2: SUITE 210 CITY: SAN MATEO STATE: CA ZIP: 94402 BUSINESS PHONE: 650-396-2210 MAIL ADDRESS: STREET 1: 1825 SOUTH GRANT STREET STREET 2: SUITE 210 CITY: SAN MATEO STATE: CA ZIP: 94402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LATERAL INVESTMENT MANAGEMENT, LLC CENTRAL INDEX KEY: 0001665167 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-31355 FILM NUMBER: 171209379 BUSINESS ADDRESS: STREET 1: 1825 SOUTH GRANT STREET STREET 2: SUITE 210 CITY: SAN MATEO STATE: CA ZIP: 94402 BUSINESS PHONE: 650-396-2210 MAIL ADDRESS: STREET 1: 1825 SOUTH GRANT STREET STREET 2: SUITE 210 CITY: SAN MATEO STATE: CA ZIP: 94402 FORMER NAME: FORMER CONFORMED NAME: Lateral Global Investors LLC DATE OF NAME CHANGE: 20160127 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lateral Credit Opportunities, LLC CENTRAL INDEX KEY: 0001665168 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-31355 FILM NUMBER: 171209376 BUSINESS ADDRESS: STREET 1: 1825 SOUTH GRANT STREET STREET 2: SUITE 210 CITY: SAN MATEO STATE: CA ZIP: 94402 BUSINESS PHONE: 650-396-2210 MAIL ADDRESS: STREET 1: 1825 SOUTH GRANT STREET STREET 2: SUITE 210 CITY: SAN MATEO STATE: CA ZIP: 94402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lateral FTE Feeder LLC CENTRAL INDEX KEY: 0001665214 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-31355 FILM NUMBER: 171209378 BUSINESS ADDRESS: STREET 1: 1825 SOUTH GRANT STREET STREET 2: SUITE 210 CITY: SAN MATEO STATE: CA ZIP: 94402 BUSINESS PHONE: 650-396-2210 MAIL ADDRESS: STREET 1: 1825 SOUTH GRANT STREET STREET 2: SUITE 210 CITY: SAN MATEO STATE: CA ZIP: 94402 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FTE Networks, Inc. CENTRAL INDEX KEY: 0001122063 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE COMMUNICATIONS (NO RADIO TELEPHONE) [4813] IRS NUMBER: 810438093 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 999 VANDERBILT BEACH ROAD STREET 2: SUITE 601 CITY: NAPLES STATE: FL ZIP: 34109 BUSINESS PHONE: 8778788136 MAIL ADDRESS: STREET 1: 999 VANDERBILT BEACH ROAD STREET 2: SUITE 601 CITY: NAPLES STATE: FL ZIP: 34109 FORMER COMPANY: FORMER CONFORMED NAME: BEACON ENTERPRISE SOLUTIONS GROUP INC DATE OF NAME CHANGE: 20080520 FORMER COMPANY: FORMER CONFORMED NAME: SUNCREST GLOBAL ENERGY CORP DATE OF NAME CHANGE: 20030625 FORMER COMPANY: FORMER CONFORMED NAME: GALAXY SPECIALTIES INC DATE OF NAME CHANGE: 20000816 3/A 1 doc3a.xml FORM 3/A SUBMISSION X0206 3/A 2015-10-28 2017-05-12 0 0001122063 FTE Networks, Inc. FTNW 0001665167 LATERAL INVESTMENT MANAGEMENT, LLC 1825 SOUTH GRANT STREET, SUITE 210 SAN MATEO CA 94402-2672 0 0 1 0 0001665214 Lateral FTE Feeder LLC 1825 SOUTH GRANT STREET, SUITE 210 SAN MATEO CA 94402-2672 0 0 1 0 0001660532 Lateral U.S. Credit Opportunities Fund, L.P. 1825 SOUTH GRANT STREET, SUITE 210 SAN MATEO CA 94402-2672 0 0 1 0 0001665168 Lateral Credit Opportunities, LLC 1825 SOUTH GRANT STREET, SUITE 210 SAN MATEO CA 94402-2672 0 0 1 0 0001662203 de Silva Richard 1825 SOUTH GRANT STREET, SUITE 210 SAN MATEO CA 94402-2672 0 0 1 0 0001723000 Feeney Patrick James 1825 SOUTH GRANT STREET, SUITE 210 SAN MATEO CA 94402-2672 0 0 1 0 0001665251 Masters Kenneth M. 1825 SOUTH GRANT STREET, SUITE 210 SAN MATEO CA 94402-2672 0 0 1 0 Series F Convertible Preferred Stock Common Stock 178554 I Held by Lateral U.S. Credit Opportunities Fund, L.P. On May 12, 2017, the Reporting Persons filed a Form 3 which inadvertently stated they acquired 4,463,480 shares of Series F Convertible Stock of the Issuer reported on an as-converted basis after giving effect to a 20-for-1 reverse stock split, when the correct number of shares acquired was 4,463,840. Each share of Series F Convertible Preferred Stock is presented in this amended Form 3 on an as-converted basis after giving effect to both (i) a 20-for-1 reverse stock split that became effective on May 26, 2016 (as described in the Issuer's Form 8-K filed on May 25, 2016) and a 25-for-1 reverse stock split that became effective on November 6, 2017 (as described in the Issuer's Form 8-K filed on November 6, 2017). Lateral Investment Management, LLC is the sole manager of Lateral FTE Feeder LLC and has a management agreement with Lateral U.S. Credit Opportunities Fund, L.P. Lateral Credit Opportunities, LLC is the sole general partner of Lateral U.S. Credit Opportunities Fund, L.P. Dhamitha Richard de Silva, Patrick Feeney and Kenneth Masters are the sole managers of Lateral Investment Management, LLC and Lateral Credit Opportunities, LLC. Lateral U.S. Credit Opportunities Fund, L.P. is the successor in interest to the shares that were initially owned by an affiliated entity, which shares have subsequently been transferred to Lateral U.S. Credit Opportunities Fund, L.P. The Reporting Persons filing this Form 3 jointly are the following: Lateral Investment Management, LLC; Lateral FTE Feeder LLC; Lateral U.S. Credit Opportunities Fund, L.P.; Lateral Credit Opportunities, LLC; Dhamitha Richard de Silva; Patrick Feeney; and Kenneth Masters. The address of each of the Reporting Persons is 1825 South Grant Street, Suite 210, San Mateo, CA 94402. /s/ Dhamitha Richard de Silva 2017-11-16