FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
GlobalOptions Group, Inc. [ GLOI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/29/2007 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 10/29/2007 | C | 100,000 | A | (1) | 146,875 | I(2) | Integris Funds Ltd.(2) | ||
Common Stock | 10/29/2007 | P(3) | 100,000 | A | $4.5 | 100,000 | I(4) | Lauriston Nominees Inc.(4) | ||
Common Stock | 2,344 | I(5) | Bayshore Merchant Services, Inc.(5) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series C Convertible Preferred Stock | (1) | 10/29/2007 | C | 1,500 | (1) | (1) | Common Stock | 100,000 | (1) | 0 | I(2) | Integris Funds Ltd.(2) |
Explanation of Responses: |
1. The Series C Convertible Preferred Stock automatically converted into common stock, at a conversion ratio of 66 2/3 shares of common stock to 1 share of Series C Convertible Preferred Stock, upon the closing of the Company's public offering, which raised $20.25 million in gross proceeds and closed on October 29, 2007. The Series C Preferred Stock had no expiration date. |
2. Mr. Bujouves is the Chief Executive Officer of Integris Funds Ltd. and may be deemed to be the beneficial owner of the shares of the Company's common stock held by Integris Funds Ltd. Mr. Bujouves disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. |
3. These shares were purchased directly from the underwriters in the Company's public offering, which closed on October 29, 2007. The shares were purchased at $4.50, the public offering price. |
4. Lauriston Nominees Inc. is the nominee of Bayshore Bank & Trust Corp., of which Mr. Bujouves is Chairman. |
5. Mr. Bujouves is the President and a director of Bayshore Merchant Services, Inc., and may be deemed to be the beneficial owner of the shares of the Company's common stock held by Bayshore Merchant Services, Inc. |
Remarks: |
/s/ Bujouves, John P. | 10/30/2007 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |