Initial Statement of Beneficial Ownership (3)
October 18 2019 - 4:37PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Harbert Discovery Fund, LP |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/16/2019
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3. Issuer Name and Ticker or Trading Symbol
STREAMLINE HEALTH SOLUTIONS INC. [STRM]
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(Last)
(First)
(Middle)
2100 THIRD AVENUE NORTH, SUITE 600, |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
BIRMINGHAM, AL 35203
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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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, $0.01 par value | 3341637 | D (1) | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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 |
Explanation of Responses: |
(1) | These shares are held by Harbert Discovery Fund, LP (the "Fund") and may be deemed to be beneficially owned by (i) Harbert Discovery Fund GP, LLC (the "Fund GP"), the general partner of the Fund, (ii) HFA, the investment adviser to the Fund, (iii) Harbert Management Corporation ("HMC"), the managing member of the Fund GP, (iv) John F. Bryant, a Senior Advisor of the Fund, and a Vice President and Senior Managing Director of HMC, (v) Kenan Lucas, the Managing Director and Portfolio Manager of the Fund GP and (v) Raymond Harbert, the controlling shareholder, Chairman and Chief Executive Officer of HMC. |
Remarks: The Reporting Persons disclaim beneficial ownership in the securities reported on this Form 3 except to the extent of his or its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Harbert Discovery Fund, LP 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM, AL 35203 | X | X |
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HARBERT DISCOVERY FUND GP, LLC 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM, AL 35203 |
| X |
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HARBERT FUND ADVISORS, INC. 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM, AL 35203 |
| X |
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HARBERT MANAGEMENT CORP 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM, AL 35203 |
| X |
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BRYANT JOHN F. 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM, AL 35203 |
| X |
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LUCAS KENAN 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM, AL 35203 | X | X |
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HARBERT RAYMOND J 2100 THIRD AVENUE NORTH SUITE 600 BIRMINGHAM, AL 35203 |
| X |
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Signatures
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Harbert Discovery Fund, LP By: Harbert Discovery Fund GP, LLC, its General Partner By: Harbert Management Corporation, its Managing Member By: /s/ John McCullough Executive Vice President and General Counsel | | 10/18/2019 |
**Signature of Reporting Person | Date |
Harbert Discovery Fund GP, LLC By: Harbert Management Corporation, its Managing Member By: /s/ John McCullough Executive Vice President and General Counsel | | 10/18/2019 |
**Signature of Reporting Person | Date |
/s/ Kenan Lucas | | 10/18/2019 |
**Signature of Reporting Person | Date |
Harbert Fund Advisors, Inc. By: /s/ John McCullough Executive Vice President and General Counsel | | 10/18/2019 |
**Signature of Reporting Person | Date |
Harbert Management Corporation By: /s/ John McCullough Executive Vice President and General Counsel | | 10/18/2019 |
**Signature of Reporting Person | Date |
/s/ John F. Bryant | | 10/18/2019 |
**Signature of Reporting Person | Date |
/s/ Raymond Harbert | | 10/18/2019 |
**Signature of Reporting Person | Date |
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