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