Director Ferayorni Justin John was granted 250,000 shares, increasing direct ownership by 43% to 833,633 units (SEC Form 4)
$STRM
EDP Services
Technology
| 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 |
|
|||||||||||||||
| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
| Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
STREAMLINE HEALTH SOLUTIONS INC. [ STRM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
|
3. Date of Earliest Transaction
(Month/Day/Year) 07/18/2024 | ||||||||||||||||||||||||||
|
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|
| 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, $0.01 par value | 07/18/2024 | A(1) | 250,000(1) | A | $0.5 | 833,633(2) | D | |||
| Common Stock, $0.01 par value | 4,930,882 | I | Refer to footnote(3)(4) | |||||||
|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 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 | ||||||||
| Explanation of Responses: |
| 1. Grant of shares of restricted stock that vest in full on the earlier of (i) July 18, 2025 and (ii) the date of, and immediately prior to, the issuer's 2025 annual meeting of stockholders, subject to the reporting person's continuous service through such vesting date. |
| 2. The reported securities represent shares owned directly by Mr. Ferayorni. |
| 3. The reported securities represent 4,244,334 shares held directly by Tamarack Global Healthcare Fund, L.P. ("Fund 1") and 686,548 shares held directly by Tamarack Global Healthcare Fund QP, L.P. ("Fund 2"). Tamarack Capital Management, LLC is the general partner of Fund 1 and Fund 2, Tamarack Advisors, LP is the investment advisor to Fund 1 and Fund 2, and Justin J. Ferayorni is the sole managing member of both Tamarack Capital Management, LLC and Tamarack Capital GP, LLC. Tamarack Capital Management, LLC, Tamarack Advisors, LP, and Mr. Ferayorni may be deemed indirect beneficial owners of the shares held by Fund 1 and Fund 2 for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Act"). |
| 4. Tamarack Capital Management, LLC, Tamarack Advisors, LP, and Mr. Ferayorni disclaim beneficial ownership of any of the shares held by Fund 1 and Fund 2 for the purpose of determining whether they are subject to Section 16 of the Act, however, in reliance on Rule 16a-1(a)(v) and (vii) under the Act. To the extent that they might be deemed subject to Section 16, they disclaim beneficial ownership of securities held by the Fund 1 and Fund 2 for purposes of Rule 16a-1(a)(2), except to the extent of their pecuniary interest therein, if any. |
| /s/ Bryant J Reeves III, attorney-in-fact | 07/19/2024 | |
| ** 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. | ||