SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 04/27/2014 | 3. Issuer Name and Ticker or Trading Symbol AUTOBYTEL INC [ ABTL ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) 05/04/2015 | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 100,877(3) | I | Held in the name of IDFC and Juan Christian Klose Pieters(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Note Convertible into Common Stock | 04/27/2015 | 09/30/2015 | Common Stock | 1,075,268 | 4.65 | D(1) | |
Warrant to Purchase Common Stock | 04/27/2015 | 09/16/2018 | Common Stock | 400,000 | 4.65 | D(1) |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. The securities are held directly by Auto Holdings. The other reporting persons are indirect owners of the securities. Mr. Vargas, Mr. de Tezanos, Mr. Peter Klose, and Mr. Aitkenhead are the directors of Auto Holdings. Ceiba is the controlling shareholder of Auto Holdings and has the right to appoint one additional director of Auto Holdings. Investment and Development Finance Corp. ("IDFC") is the sole shareholder of Ceiba. Galeb3 is wholly-owned by Mr. Vargas and owns shares of Auto Holdings. Manatee is wholly-owned by Mr. Tezanos and owns shares of Auto Holdings. |
2. The original April 27, 2015 filing is amended to add Juan Christian Klose Pieters, beneficial owner of Investment and Development Finance Corp., Margarita Klose, wife of Juan Christian Klose Pieters, and IDC Financial S.A., beneficially owned by Investment and Development Finance Corp., to the group |
3. The original April 27, 2015 filing is amended to reflect that on that date, Investment and Development Finance Corp. directly owned 95,977 shares of ABTL common stock, and Juan Christian Klose Pieters jointly with Margarita Klose, owned 4,900 shares of ABTL common stock. |
Remarks: |
The original April 27, 2015 filing is amended to correct the full name of IDFC, the correct name is Investment and Development Finance Corp., not International Development & Financial Corp., as shown on the original filing. Given the limit of ten insider CIKs on a single form, an additional Form 3 will be filed containing the signatures of ten additional insiders: Auto Holdings Ltd., John Peter Klose de Ojeda , Richard Aitkenhead Castillo , Jose Vargas Sr., Galeb3 Inc, Matias de Tezanos, Manatee Ventures Inc., Investment & Development Finance Corp., Ceiba International Corp., IDC Financial S.A. |
/s/ Auto Holdings Ltd., by /s/ Matias de Tezanos, Director | 11/20/2015 | |
/s/ Juan Christian Klose Pieters | 11/20/2015 | |
/s/ Margarita Klose | 11/20/2015 | |
** 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 5 (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. |