0001705880-17-000001.txt : 20170522
0001705880-17-000001.hdr.sgml : 20170522
20170522190350
ACCESSION NUMBER: 0001705880-17-000001
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170511
FILED AS OF DATE: 20170522
DATE AS OF CHANGE: 20170522
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: HOOPER HOLMES INC
CENTRAL INDEX KEY: 0000741815
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISC HEALTH & ALLIED SERVICES, NEC [8090]
IRS NUMBER: 221659359
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 560 N. ROGERS ROAD
CITY: OLATHE
STATE: KS
ZIP: 66062
BUSINESS PHONE: 9137641045
MAIL ADDRESS:
STREET 1: 560 N. ROGERS ROAD
CITY: OLATHE
STATE: KS
ZIP: 66062
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bazos Frank R
CENTRAL INDEX KEY: 0001705880
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09972
FILM NUMBER: 17862333
MAIL ADDRESS:
STREET 1: C/O CENTURY EQUITY PARTNERS, LLC
STREET 2: 100 FEDERAL STREET, 29TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02110
3
1
primary_doc.xml
PRIMARY DOCUMENT
X0206
3
2017-05-11
0
0000741815
HOOPER HOLMES INC
HPHW
0001705880
Bazos Frank R
C/O CENTURY EQUITY PARTNERS, LLC
100 FEDERAL STREET, 29TH FLOOR
BOSTON
MA
02110
1
0
1
0
Common Stock
12519259
I
0
Warrant (right to buy)
0.6134
2018-05-11
2024-05-11
Common Stock
326052
I
0
Warrant (right to buy)
1.35
2017-11-11
2021-05-11
Common Stock
1093750
I
0
These shares are directly held by WH-HH Holdings, LLC ("Holdings"). The managers of Holdings are Frank Bazos ("Bazos")and Stepeh Marquardt ("Marquardt" and, together with Bazos, the "Holdco Managers"), each of whom were appointed and may be removed by Century Focused Fund III, L.P.("CFF III"). Any disposition of the shares directly held by Holdings must be approved by CCF III in addition to the Managers. The general partner of CFF III is CCP Focused III, L.P. ("CCP GP"). The general partner of CCP GP is CCP Focused III, LLC ("CCP GP LLC").
The individual managers of CCP GP LLC are Bazos, Davis R. Fulkerson ("Fulkerson"), Charles L. Kline ("Kline") and David C. Sherwood ("Sherwood" and collectively with Bazos, Fulkerson and Kline, the "CCP Managers") and, as such, each of the Holdco Managers, CFF III, CCP GP, CCP GP LLC, and the CCP Managers exercises shared voting and investment power over the shares held of record by Holdings. Each of the Reporting Persons disclaims beneficial ownership of the shares except to the extent of their pecuniary interest therein, if any.
These warrants are directly held by WH-HH Blocker, Inc. ("Blocker"). The directors of Blocker are Bazos and Marquardt (collectively, the "Blocker Directors"), each of whom were appointed and may be removed by CFF III as the sole shareholder of Blocker. Each of the Blocker Directors, CFF III, CCP GP, CCP GP LLC, and the CCP Managers exercises shared voting and investment power over the warrants held of record by Blocker. Each of the Reporting Persons disclaims beneficial ownership of the warrants except to the extent of their pecuniary interest therein, if any.
These warrants are directly held by Holdings. Each of the Holdco Managers, CFF III, CCP GP, CCP GP LLC, and the CCP Managers exercises shared voting and investment power over the warrants held of record by Holdings. Each of the Reporting Persons disclaims beneficial ownership of the warrants to the extent of their pecuniary interest therein, if any.
Frank R. Bazos, by Davis R. Fulkerson, attorny-in-fact
2017-05-22