organization · Reporting owner
Swarth Investments Ltd.
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Ribbon Communications Inc.RBBN · Entity 5785 | 10% owner | March 30, 2023 | April 03, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Ribbon Communications Inc.
Report date March 30, 2023 · Filed April 03, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series A Preferred StockSEC Table I · non-derivative | Direct | 5,000 |
Reported balance
After 2023-03-30 transaction · row 1
1 source rowRow 1 · 2023-03-30 · Purchase · Acquired 5,000 · Balance 5,000 F1: On March 28, 2023, the Reporting Person and the Issuer entered into a Securities Purchase Agreement (the "Purchase Agreement") among the Reporting Person, the Issuer and the other parties listed on the signature pages thereto, pursuant to which the Issuer issued in a private placement transaction (i) 55,000 shares of the Issuer's Series A Preferred Stock, par value $0.01 per share (the "Preferred Stock") and (ii) warrants (the "Warrants") to purchase up to an aggregate of 4,858,090 shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). Of the 55,000 shares of Preferred Stock issued under the Purchase Agreement, the Reporting Person acquired 5,000 shares of Preferred Stock. Of the Warrants issued under the Purchase Agreement, the Reporting Person acquired Warrants to purchase up to 441,645 shares of Common Stock. F2: The transactions contemplated by the Purchase Agreement closed on March 30, 2023, at which time the Preferred Stock and Warrants were issued to the Reporting Person and the other purchasers. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $3.77 · Expires 2027-03-30 | Direct | 441,645 |
Reported balance
After 2023-03-30 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-03-30 · Purchase · Acquired 441,645 · Balance 441,645 F1: On March 28, 2023, the Reporting Person and the Issuer entered into a Securities Purchase Agreement (the "Purchase Agreement") among the Reporting Person, the Issuer and the other parties listed on the signature pages thereto, pursuant to which the Issuer issued in a private placement transaction (i) 55,000 shares of the Issuer's Series A Preferred Stock, par value $0.01 per share (the "Preferred Stock") and (ii) warrants (the "Warrants") to purchase up to an aggregate of 4,858,090 shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). Of the 55,000 shares of Preferred Stock issued under the Purchase Agreement, the Reporting Person acquired 5,000 shares of Preferred Stock. Of the Warrants issued under the Purchase Agreement, the Reporting Person acquired Warrants to purchase up to 441,645 shares of Common Stock. F2: The transactions contemplated by the Purchase Agreement closed on March 30, 2023, at which time the Preferred Stock and Warrants were issued to the Reporting Person and the other purchasers. |
Filing footnotes · ownership attribution and instrument terms
F1: On March 28, 2023, the Reporting Person and the Issuer entered into a Securities Purchase Agreement (the "Purchase Agreement") among the Reporting Person, the Issuer and the other parties listed on the signature pages thereto, pursuant to which the Issuer issued in a private placement transaction (i) 55,000 shares of the Issuer's Series A Preferred Stock, par value $0.01 per share (the "Preferred Stock") and (ii) warrants (the "Warrants") to purchase up to an aggregate of 4,858,090 shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). Of the 55,000 shares of Preferred Stock issued under the Purchase Agreement, the Reporting Person acquired 5,000 shares of Preferred Stock. Of the Warrants issued under the Purchase Agreement, the Reporting Person acquired Warrants to purchase up to 441,645 shares of Common Stock.
F2: The transactions contemplated by the Purchase Agreement closed on March 30, 2023, at which time the Preferred Stock and Warrants were issued to the Reporting Person and the other purchasers.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 30, 2023 Filed Apr 3, 2023 16:05 UTC | Ribbon Communications Inc. RBBN · Entity 5785 | PurchaseWarrant · Derivative | 441,645 | $3.77 Strike: $3.77 | $1,665,001.65 |
DisclosureSEC source: 0000950103-23-005277 · dp191812_4-siltd.xml · derivative · entry 2 Swarth Investments Ltd. · CIK 0001805595 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 441,645 Underlying: Common Stock · 27,877,384 shares Expires 2027-03-30 F1 · shares: On March 28, 2023, the Reporting Person and the Issuer entered into a Securities Purchase Agreement (the "Purchase Agreement") among the Reporting Person, the Issuer and the other parties listed on the signature pages thereto, pursuant to which the Issuer issued in a private placement transaction (i) 55,000 shares of the Issuer's Series A Preferred Stock, par value $0.01 per share (the "Preferred Stock") and (ii) warrants (the "Warrants") to purchase up to an aggregate of 4,858,090 shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). Of the 55,000 shares of Preferred Stock issued under the Purchase Agreement, the Reporting Person acquired 5,000 shares of Preferred Stock. Of the Warrants issued under the Purchase Agreement, the Reporting Person acquired Warrants to purchase up to 441,645 shares of Common Stock. F2 · shares: The transactions contemplated by the Purchase Agreement closed on March 30, 2023, at which time the Preferred Stock and Warrants were issued to the Reporting Person and the other purchasers. Read SEC document |
| March 30, 2023 Filed Apr 3, 2023 16:05 UTC | Ribbon Communications Inc. RBBN · Entity 5785 | PurchaseSeries A Preferred Stock | 5,000 | $970.00 | $4,850,000.00 |
DisclosureSEC source: 0000950103-23-005277 · dp191812_4-siltd.xml · nonDerivative · entry 1 Swarth Investments Ltd. · CIK 0001805595 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,000 F1 · shares: On March 28, 2023, the Reporting Person and the Issuer entered into a Securities Purchase Agreement (the "Purchase Agreement") among the Reporting Person, the Issuer and the other parties listed on the signature pages thereto, pursuant to which the Issuer issued in a private placement transaction (i) 55,000 shares of the Issuer's Series A Preferred Stock, par value $0.01 per share (the "Preferred Stock") and (ii) warrants (the "Warrants") to purchase up to an aggregate of 4,858,090 shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). Of the 55,000 shares of Preferred Stock issued under the Purchase Agreement, the Reporting Person acquired 5,000 shares of Preferred Stock. Of the Warrants issued under the Purchase Agreement, the Reporting Person acquired Warrants to purchase up to 441,645 shares of Common Stock. F2 · shares: The transactions contemplated by the Purchase Agreement closed on March 30, 2023, at which time the Preferred Stock and Warrants were issued to the Reporting Person and the other purchasers. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 11:52 UTC | Ribbon Communications Inc. RBBN · Entity 5785 | PurchaseCommon Stock | 1,639,344 | $3.05 | $4,999,999.20 |
DisclosureSEC source: 0000950103-22-014172 · dp178845_4-siltd.xml · nonDerivative · entry 1 Swarth Investments Ltd. · CIK 0001805595 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,435,739 F1 · shares: On August 12, 2022, the Reporting Person and the Issuer entered into a Securities Purchase Agreement (the "Purchase Agreement") among the Reporting Person, the Issuer and the other parties listed on the signature pages thereto, pursuant to which the Issuer issued, in the aggregate, 17,071,311 shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") in a private placement transaction. Of the 17,071,311 shares of Common Stock issued under the Purchase Agreement, the Reporting Person acquired 1,639,344 shares of Common Stock. The transactions contemplated by the Purchase Agreement closed on August 16, 2022, at which time the Common Stock was issued to the Reporting Person and the other purchasers. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.