0001140361-16-077288.txt : 20160819 0001140361-16-077288.hdr.sgml : 20160819 20160819161732 ACCESSION NUMBER: 0001140361-16-077288 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20160817 FILED AS OF DATE: 20160819 DATE AS OF CHANGE: 20160819 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AIRGAIN INC CENTRAL INDEX KEY: 0001272842 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 200281763 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3611 VALLEY CENTRE DRIVE STREET 2: SUITE 150 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: (760) 579-0200 MAIL ADDRESS: STREET 1: 3611 VALLEY CENTRE DRIVE STREET 2: SUITE 150 CITY: SAN DIEGO STATE: CA ZIP: 92130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NORTHWATER INTELLECTUAL PROPERTY FUND LP 1 CENTRAL INDEX KEY: 0001352439 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37851 FILM NUMBER: 161843362 BUSINESS ADDRESS: STREET 1: C/O NORTHWATER CAPITAL MGMT INC STREET 2: SUITE 4700 BCE PLACE 181BAY ST CITY: TORONTO STATE: A6 ZIP: 00000 BUSINESS PHONE: 4163606320 MAIL ADDRESS: STREET 1: C/O NORTHWATER CAPITAL MGMT INC STREET 2: SUITE 4700 BCE PLACE 181BAY ST CITY: TORONTO STATE: A6 ZIP: 00000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Northwater Capital Management Inc. CENTRAL INDEX KEY: 0001579503 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37851 FILM NUMBER: 161843363 BUSINESS ADDRESS: STREET 1: 181 BAY STREET STREET 2: SUITE 4700 CITY: TORONTO STATE: A6 ZIP: M5J2T3 BUSINESS PHONE: 416 360 2090 MAIL ADDRESS: STREET 1: 181 BAY STREET STREET 2: SUITE 4700 CITY: TORONTO STATE: A6 ZIP: M5J2T3 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Northwater Capital Inc. CENTRAL INDEX KEY: 0001579504 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37851 FILM NUMBER: 161843364 BUSINESS ADDRESS: STREET 1: 181 BAY STREET STREET 2: SUITE 4700 CITY: TORONTO STATE: A6 ZIP: M5J2T3 BUSINESS PHONE: 416 360 2090 MAIL ADDRESS: STREET 1: 181 BAY STREET STREET 2: SUITE 4700 CITY: TORONTO STATE: A6 ZIP: M5J2T3 4 1 doc1.xml FORM 4 X0306 4 2016-08-17 0 0001272842 AIRGAIN INC AIRG 0001579504 Northwater Capital Inc. 161 BAY STREET, SUITE 4000 TORONTO A6 M5J 2S1 ONTARIO, CANADA 0 0 1 1 Director by deputization*** 0001579503 Northwater Capital Management Inc. 161 BAY STREET, SUITE 4000 TORONTO A6 M5J 2S1 ONTARIO, CANADA 0 0 1 1 Director by deputization*** 0001352439 NORTHWATER INTELLECTUAL PROPERTY FUND LP 1 161 BAY STREET, SUITE 4000 TORONTO A6 M5J 2S1 ONTARIO, CANADA 0 0 1 0 Common Stock 2016-08-17 4 C 0 1212556 0 A 1270779 I See footnote Series E Preferred Stock 2016-08-17 4 C 0 2730059 0 D Common Stock 273005 0 I See footnote Series F Preferred Stock 2016-08-17 4 C 0 769230 0 D Common Stock 76923 0 I See Footnotes Series G Preferred Stock 2016-08-17 4 C 0 4159168 0 D Common Stock 415913 0 I See footnote Dividend Right 2016-08-17 4 C 0 446715 0 D Common Stock 446715 0 I See footnote See Exhibit 99.1; Note 1. See Exhibit 99.1; Note 2. See Exhibit 99.1; Note 3. *** Northwater Capital Inc., Northwater Capital Management Inc. and Northwater Intellectual Property Fund L.P. 1 are each a "director by deputization" solely for purposes of Section 16 of the Securities Exchange Act of 1934. Exhibit List: Exhibit 99.1 - Explanation of Responses Exhibit 99.2 - Joint Filer Information and Signature NORTHWATER CAPITAL INC.; By: /s/ Daniel Mills, Managing Director 2016-08-19 NORTHWATER CAPITAL INC.; By: /s/ Frances Kordyback, Managing Director 2016-08-19 EX-99.1 2 n17935768a.htm EXPLANATION OF RESPONSES

Explanation of Responses:

(1)

Represents shares held by Northwater Intellectual Property Fund L.P. 1, a Delaware limited partnership (“NIP LP 1”). Northwater Capital Inc., a corporation formed under the laws of the Province of Ontario (“NCI”) is the direct parent of Northwater Capital Management Inc., a corporation formed under the laws of the Province Ontario (“NCMI”), which is the manager of NIP LP 1. The Reporting Persons have an indirect pecuniary interest in the shares of Airgain, Inc. held directly by NIP LP 1. Each of NCI and NCMI disclaims such beneficial ownership except to the extent of any indirect pecuniary interest therein.

(2)	The preferred stock is convertible at any time, at the holder’s election and has no expiration date. The preferred stock automatically converted into common stock on an approximately 1-to-0.100 split-adjusted basis upon the closing of the Issuer’s initial public offering.

(3)	The dividend rights were paid in shares of the Issuer’s common stock at the Issuer’s election immediately upon the closing of the Issuer’s initial public offering.

EX-99.2 3 n17935768b.htm JOINT FILER INFORMATION AND SIGNATURE

Joint Filer Information and Signature

	Joint Filers:


	1. Name:	Northwater Capital Management Inc.
	Address:	161 Bay Street, Suite 4000, Toronto, Ontario, Canada M5J 2S1

		NORTHWATER CAPITAL MANAGEMENT INC.


		By: /s/ Daniel Mills	August 19, 2016
		Name: Daniel Mills
		Title: Managing Director

		By: /s/ Frances Kordyback	August 19, 2016
		Name: Frances Kordyback
		Title: Managing Director


	2. Name:	Northwater Intellectual Property Fund L.P. 1
	Address:	161 Bay Street, Suite 4000, Toronto, Ontario, Canada M5J 2S1

		NORTHWATER INTELLECTUAL PROPERTY FUND L.P. 1
		BY: NORTHWATER IP 1 GP INC., ITS GENERAL PARTNER


		By: /s/ Daniel Mills	August 19, 2016
		Name: Daniel Mills
		Title: Managing Director

		By: /s/ Frances Kordyback	August 19, 2016
		Name: Frances Kordyback
		Title: Managing Director