SC 13G/A: PARKERVISION INC

AI Summary

SC 13G/A filing by PARKERVISION INC.

Risk Assessment

Risk Level: low

FAQ

Filing Documents

• p228240sc13ga15.htm (SC 13G/A) — 68KB
• 0001214659-24-003675.txt ( ) — 70KB

is amended to add

Item 4 is amended to add the following: As of February 28, 2024, the Reporting Persons beneficially own 9,081,209 Shares, which includes, subject to the 9.99% Blocker, Shares issuable upon conversion of the 2019 Note, 2020 Note, and the 2023 Note (the “ Notes ”). Based on the 9.99% Blocker in each of the Notes, the Shares beneficially owned by the Reporting Persons represent 9.99% of the outstanding shares of Common Stock, based on 87,510,563 Shares reported as being outstanding as of November 9, 2023 on the Issuer’s Form 10-Q as filed with the Securities and Exchange Commission on November 14, 2023. The number of Shares beneficially owned by the Reporting Persons excludes, to the extent that the conversion of the Notes would be prohibited by the 9.99% Blocker, 9,059,489 shares of Common Stock. (a) Amount Beneficially Owned: (i) Gem Partners individually beneficially owns 9,050,509 Shares consisting of (1) 5,658,075 Shares and (2) an additional 3,392,434 Shares underlying the Notes held by Gem Partners, but excluding 9,059,489 Shares underlying the Notes held by Gem Partners that are not convertible within 60 days due to the 9.99% Blocker. (ii) Flat Rock individually beneficially owns 24,100 Shares. (iii) Advisors, as the general partner of Gem Partners and Flat Rock, beneficially owns 9,074,609 Shares consisting of the 9,050,509 Shares beneficially owned by Gem Partners and the 24,100 Shares beneficially owned by Flat Rock. (iv) Mr. Lewis, as the controlling person of Advisors, beneficially owns 9,081,209 Shares consisting of (1) the 9,074,609 Shares beneficially owned by Gem Partners, Flat Rock and Advisors collectively and (2) an additional 6,600 Shares that he owns personally. (v) Collectively, the Reporting Persons beneficially own 9,081,209 Shares. Page 6 of 8 (b) Percent of Class: (i) Gem Partners’ individual beneficial ownership of Shares represents 9.96% of all of the outstanding Shares of the Issuer. (ii) Flat

Ownership of Five Percent or Less of a Class

Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following .

Certifications

Item 10. Certifications. By signing below, the undersigned certifies to the best of its or his knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 7 of 8 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 28, 2024 GEM PARTNERS, LP By: Gem Investment Advisors, LLC, as General Partner By: /s/ Daniel M. Lewis Daniel M. Lewis, Managing Member FLAT ROCK PARTNERS LP By: Gem Investment Advisors, LLC, as General Partner By: /s/ Daniel M. Lewis Daniel M. Lewis, Managing Member GEM INVESTMENT ADVISORS, LLC By: /s/ Daniel M. Lewis Daniel M. Lewis, Managing Member /s/ Daniel M. Lewis Daniel M. Lewis The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative (other than an executive officer or general partner of this filing person), evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001). Page 8 of 8

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