<SEC-DOCUMENT>0001477932-18-005376.txt : 20181109
<SEC-HEADER>0001477932-18-005376.hdr.sgml : 20181109
<ACCEPTANCE-DATETIME>20181109170916
ACCESSION NUMBER:		0001477932-18-005376
CONFORMED SUBMISSION TYPE:	SC 13D/A
PUBLIC DOCUMENT COUNT:		1
FILED AS OF DATE:		20181109
DATE AS OF CHANGE:		20181109

SUBJECT COMPANY:	

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			ISSUER DIRECT CORP
		CENTRAL INDEX KEY:			0000843006
		STANDARD INDUSTRIAL CLASSIFICATION:	COMMERCIAL PRINTING [2750]
		IRS NUMBER:				261331503
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		SC 13D/A
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	005-41710
		FILM NUMBER:		181173933

	BUSINESS ADDRESS:	
		STREET 1:		500 PERIMETER PARK DRIVE
		STREET 2:		SUITE D
		CITY:			MORRISVILLE
		STATE:			NC
		ZIP:			27560
		BUSINESS PHONE:		9194611600

	MAIL ADDRESS:	
		STREET 1:		500 PERIMETER PARK DRIVE
		STREET 2:		SUITE D
		CITY:			MORRISVILLE
		STATE:			NC
		ZIP:			27560

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	DOCUCON INC
		DATE OF NAME CHANGE:	20071002

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	DOCUCON INCORPORATED
		DATE OF NAME CHANGE:	19920703

FILED BY:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			EQS Group AG
		CENTRAL INDEX KEY:			0001715373
		IRS NUMBER:				000000000
		STATE OF INCORPORATION:			2M
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		SC 13D/A

	BUSINESS ADDRESS:	
		STREET 1:		KARLSTRASSE 47
		CITY:			MUNICH
		STATE:			2M
		ZIP:			80333
		BUSINESS PHONE:		490892102980

	MAIL ADDRESS:	
		STREET 1:		KARLSTRASSE 47
		CITY:			MUNICH
		STATE:			2M
		ZIP:			80333
</SEC-HEADER>
<DOCUMENT>
<TYPE>SC 13D/A
<SEQUENCE>1
<FILENAME>isdr_sc13da.htm
<DESCRIPTION>SC 13D/A
<TEXT>
<html><head><title>isdr_sc13da.htm</title><!--Document Created by EDGARMaster--></head><BODY spellcheck="true" style="text-align:justify;font:10pt TIMES NEW ROMAN;margin:0px 7%"><p style="MARGIN: 0px" align="center"> <table style="FONT-SIZE: 1px" cellspacing="0" cellpadding="0" width="100%" border="0"> <tr> <td> <div style="HEIGHT: 4px; WIDTH: 100%; BACKGROUND: #000000; MARGIN: 0px 0px 2px" name="hrule"></div> <div style="HEIGHT: 2px; WIDTH: 100%; BACKGROUND: #000000" name="hrule"></div></td></tr></table></p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px" align="center"><b><font size="3">UNITED STATES </font></b></p> <p style="MARGIN: 0px" align="center"><b><font size="3">SECURITIES AND EXCHANGE COMMISSION </font></b></p> <p style="MARGIN: 0px" align="center"><font size="3"><b>Washington, D.C. 20549</b> </font></p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in" align="center"><b><font size="5">SCHEDULE 13D </font></b></p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in" align="center"><b>Under the Securities Exchange Act of 1934</b></p> <p style="MARGIN: 0px 0px 0px 0in" align="center"><b>(Amendment No. 4)*</b></p>&nbsp;<b> <p style="MARGIN: 0px 0px 0px 0in" align="center"> <table style="TEXT-ALIGN: justify; FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cols="1" cellpadding="0" width="50%" align="center" border="0"> <tr> <td style="BORDER-BOTTOM: black 1px solid"> <p style="MARGIN: 0px" align="center"><b><font size="5">ISSUER DIRECT CORPORATION</font></b></p></td></tr> <tr> <td> <p style="MARGIN: 0px" align="center">(Name of Issuer) </p></td></tr></table></p>&nbsp;</b> <p style="MARGIN: 0px 0px 0px 0in" align="center"><u><b>Common Stock, Par Value $0.001 per share </b></u></p> <p style="MARGIN: 0px" align="center">(Title of Class of Securities) </p> <p style="MARGIN: 0px" align="center">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in" align="center"><u><b>46520M204</b></u></p> <p style="MARGIN: 0px" align="center">(CUSIP Number) </p> <p style="MARGIN: 0px" align="center">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in" align="center"><b>Mr Andr&#233; Silverio Marques</b></p> <p style="MARGIN: 0px 0px 0px 0in" align="center"><b>EQS Group AG</b></p> <p style="MARGIN: 0px" align="center"><b>Karlstrasse 47</b></p> <p style="MARGIN: 0px" align="center"><b>Munich, Germany 80333</b></p> <p style="MARGIN: 0px" align="center"><b><u>Telephone: +49 (0)89 210 298 0</u></b></p> <p style="MARGIN: 0px" align="center">(Name, Address and Telephone Number of Person</p> <p style="MARGIN: 0px" align="center">Authorized to Receive Notices and Communications)</p> <p style="MARGIN: 0px" align="center">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in" align="center"><b><u>November 9, 2018</u></b></p> <p style="MARGIN: 0px 0px 0px 0in" align="center">(Date of Event which Requires Filing of this Statement)</p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p>If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of &#167;&#167;240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. <font style="FONT-FAMILY: Wingdings">&#168;</font> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px"><b>Note:</b> Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See &#167;&nbsp;240.13d-7(b) for other parties to whom copies are to be sent. </p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">*The remainder of this cover page shall be filled out for a reporting person&#8217;s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.</p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px">The information required on the remainder of this cover page shall not be deemed to be &#8220;filed&#8221; for the purpose of Section&nbsp;18 of the Securities Exchange Act of 1934 (&#8220;Act&#8221;) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). </p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px"> <table style="FONT-SIZE: 1px" cellspacing="0" cellpadding="0" width="100%" border="0"> <tr> <td> <div style="HEIGHT: 2px; WIDTH: 100%; BACKGROUND: #000000; MARGIN: 0px 0px 2px" name="hrule"></div> <div style="HEIGHT: 4px; WIDTH: 100%; BACKGROUND: #000000" name="hrule"></div></td></tr></table></p> <p style="MARGIN: 0px"> <table class="pagebreak" style="FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cellpadding="0" width="100%" border="0"> <tr> <td class="hpbhr">&nbsp;</td></tr> <tr> <td>&nbsp;</td></tr> <tr> <td> <div style="WIDTH: 100%; PAGE-BREAK-AFTER: always; LINE-HEIGHT: 0px"></div>&nbsp;</td></tr> <tr> <td>&nbsp;</td></tr></table></p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px"> <table style="TEXT-ALIGN: justify; FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cols="3" cellpadding="3" width="100%" align="center" border="0"> <tr> <td style="BORDER-BOTTOM: black 1px solid" width="30%"> <p style="MARGIN: 0px">CUSIP No. 46520M204</p></td> <td style="BORDER-BOTTOM: black 1px solid"> <p style="MARGIN: 0px" align="center">13D</p></td> <td style="BORDER-BOTTOM: black 1px solid" width="30%"> <p style="MARGIN: 0px" align="right">Page 2 of 4 Pages</p></td></tr></table></p> <p style="MARGIN: 0px">&nbsp;</p> <table style="BORDER-RIGHT: black 1px solid; BORDER-BOTTOM: black 1px solid; TEXT-ALIGN: justify; FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cellpadding="3" width="100%" align="center" border="0"> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="8%"> <p style="MARGIN: 0px 0px 0px 0in" align="center">1.</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)</p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">EQS Group AG, a German Stock Corporation</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in" align="center">2.</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top">CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) <p style="MARGIN: 0px">(a) <font style="FONT-FAMILY: Wingdings">&#168;</font></p>(b) <font style="FONT-FAMILY: Wingdings">&#168;</font></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in" align="center">3.</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">SEC USE ONLY</p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in" align="center">4.</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">SOURCE OF FUNDS (see instructions)</p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in" align="center">5.</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) </p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;<font face="Wingdings">&#168;</font></p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in" align="center">6.</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">CITIZENSHIP OR PLACE OF ORGANIZATION</p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">Germany </p></td></tr></table> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px"> <table style="BORDER-RIGHT: black 1px solid; BORDER-BOTTOM: black 1px solid; TEXT-ALIGN: justify; FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cellpadding="3" width="100%" align="center" border="0"> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="middle" rowspan="4" width="12%"> <p style="MARGIN: 0px 0px 0px 0in" align="center">NUMBER OF </p> <p style="MARGIN: 0px 0px 0px 0in" align="center">SHARES</p> <p style="MARGIN: 0px 0px 0px 0in" align="center">BENEFICIALLY</p> <p style="MARGIN: 0px 0px 0px 0in" align="center">OWNED BY</p> <p style="MARGIN: 0px 0px 0px 0in" align="center">EACH</p> <p style="MARGIN: 0px 0px 0px 0in" align="center">REPORTING</p> <p style="MARGIN: 0px 0px 0px 0in" align="center">PERSON WITH</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="8%"> <p style="MARGIN: 0px 0px 0px 0in" align="center">7.</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in" align="justify">SOLE VOTING POWER</p> <p style="MARGIN: 0px 0px 0px 0in" align="justify">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in" align="justify">238,136</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in" align="center">8.</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in" align="justify">SHARED VOTING POWER</p> <p style="MARGIN: 0px 0px 0px 0in" align="justify">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in" align="justify">0</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in" align="center">9.</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in" align="justify">SOLE DISPOSITIVE POWER</p> <p style="MARGIN: 0px 0px 0px 0in" align="justify">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in" align="justify">238,136</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in" align="center">10.</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in" align="justify">SHARED DISPOSITIVE POWER</p> <p style="MARGIN: 0px 0px 0px 0in" align="justify">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in" align="justify">0</p></td></tr></table></p> <p style="MARGIN: 0px">&nbsp;</p> <table style="BORDER-RIGHT: black 1px solid; BORDER-BOTTOM: black 1px solid; TEXT-ALIGN: justify; FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cellpadding="3" width="100%" align="center" border="0"> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="8%"> <p style="MARGIN: 0px" align="center">11.</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON</p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">238,136</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in" align="center">12.</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) </p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;<font face="Wingdings">&#168;</font></p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in" align="center">13.</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)</p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">5.89% <sup>(1)</sup></p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in" align="center">14.</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">TYPE OF REPORTING PERSON (see instructions)</p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">CO</p></td></tr></table> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">(1) Based upon 4,044,690 shares of common stock outstanding as of November 1, 2018, as reported in the Issuer&#8217;s Quarterly Report on Form 10-Q for the quarter ended September 30, 2018.</p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px"> <table id="pagebreak90d0a0b7-962d-48f5-a6f1-65ce6350e70e" class="pagebreak" style="FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cellpadding="0" width="100%" border="0"> <tr> <td class="hpbhr">&nbsp;</td></tr> <tr> <td style="BORDER-BOTTOM: black 1px solid">&nbsp;</td></tr> <tr> <td> <div style="WIDTH: 100%; PAGE-BREAK-AFTER: always; LINE-HEIGHT: 0px"></div>&nbsp;</td></tr> <tr> <td>&nbsp;</td></tr></table></p> <p style="MARGIN: 0px">&nbsp; </p> <p style="MARGIN: 0px"> <table style="TEXT-ALIGN: justify; FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cols="3" cellpadding="3" width="100%" align="center" border="0"> <tr> <td style="BORDER-BOTTOM: black 1px solid" width="30%"> <p style="MARGIN: 0px">CUSIP No. 46520M204</p></td> <td style="BORDER-BOTTOM: black 1px solid"> <p style="MARGIN: 0px" align="center">13D</p></td> <td style="BORDER-BOTTOM: black 1px solid" width="30%"> <p style="MARGIN: 0px" align="right">Page&nbsp;3 of 4 Pages</p></td></tr></table></p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px" align="center"><b>SCHEDULE 13D </b></p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px"><b>Item&nbsp;1.</b>&nbsp;<b>Security and Issuer</b>&nbsp;</p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in" align="justify">This Amendment No. 4 to Schedule 13D (this &#8220;<u>Amendment No. 4</u>&#8221;) amends and supplements the Schedule 13D previously filed by&nbsp;EQS Group AG (the &#8220;<u>Reporting Person</u>&#8221;) with the Securities and Exchange Commission (the &#8220;<u>Commission</u>&#8221;) on August 25, 2017, as amended by Amendment No. 1, filed on September 11, 2017, and as further amended by Amendment No. 2, filed on September 26, 2017, and as further amended by Amendment No. 3, filed on November 9, 2018 (as so amended, the &#8220;<u>Schedule 13D</u>&#8221;), relating to the common stock, par value $0.001 per share (the &#8220;<u>Common Stock</u>&#8221;), of Issuer Direct Corporation, a Delaware corporation (the &#8220;<u>Issuer</u>&#8221;). The address of the principal executive office of the Issuer is&nbsp;500 Perimeter Park Drive, Suite D, Morrisville NC 27560. </p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in" align="justify">Unless otherwise indicated, all capitalized terms in this Amendment No. 4 have the meanings set forth for such terms in the Schedule 13D. Except as set forth herein, this Amendment No. 4 does not supplement, restate, amend or modify any of the information previously reported in the Schedule 13D. </p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px"><b>Item&nbsp;5.</b> &nbsp;&nbsp;<b>Interest in Securities of the Issuer </b>&nbsp;</p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px"><i>Item 5(a), (b) and (c) are hereby amended and restated in their entirety with the following:</i></p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px" align="justify">(a) The Reporting Person is deemed to have voting and dispositive power with respect to 238,136 shares of Common Stock of the Issuer, representing approximately 5.89% of the 4,044,690 shares of Common Stock issued and outstanding as of November 1, 2018, as reported in the Issuer&#8217;s Quarterly Report on Form 10-Q for the quarter ended September 30, 2018.</p> <p style="MARGIN: 0px" align="justify">&nbsp;</p> <p style="MARGIN: 0px" align="justify">(b) The Reporting Person has sole voting and dispositive power with respect to 238,136 shares of the Issuer&#8217;s Common Stock.</p> <p style="MARGIN: 0px" align="justify">&nbsp;</p> <p style="MARGIN: 0px" align="justify">(c) &nbsp;Except as set forth in this Schedule 13D, the Reporting Person has not effected any transaction in the past 60 days in shares of Common Stock.&nbsp;During the past 60 days, the Reporting Person sold beneficial ownership of 53,576 shares of the Issuer&#8217;s Common Stock through sales made between September 25, 2018 and November 7, 2018 on the open market at prices ranging from $12.14 per share to $15.76 per share (exclusive of any fees, commissions or other expenses). </p> <p style="MARGIN: 0px" align="justify">&nbsp;</p> <p style="MARGIN: 0px" align="justify">Transactions in the Common Stock effected by the Reporting Person during the past 60 days are set forth on <u>Schedule A</u> to this Amendment No. 4. All of the transactions reflected in <u>Schedule A</u> to this Amendment No. 4 were effected in open market transactions on the NYSE American Stock Market and other market places in the ordinary course of the Reporting Person&#8217;s business. Upon request, the Reporting Person hereby undertakes to provide to the Issuer, any stockholder of the Issuer, or the Staff of the Commission, full information regarding the number of shares of the Issuer&#8217;s Common Stock sold and the prices of each trade within the ranges set forth in this Item 5(c).</p> <p style="MARGIN: 0px" align="justify">&nbsp;</p> <p style="MARGIN: 0px"> <table id="pagebreak3b130c7a-651a-42c0-8ffa-0431b91953fd" class="pagebreak" style="FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cellpadding="0" width="100%" border="0"> <tr> <td class="hpbhr">&nbsp;</td></tr> <tr> <td style="BORDER-BOTTOM: black 1px solid">&nbsp;</td></tr> <tr> <td> <div style="WIDTH: 100%; PAGE-BREAK-AFTER: always; LINE-HEIGHT: 0px"></div>&nbsp;</td></tr> <tr> <td>&nbsp;</td></tr></table></p> <p style="MARGIN: 0px">&nbsp;</p><b> <p style="MARGIN: 0px"> <table style="TEXT-ALIGN: justify; FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cols="3" cellpadding="3" width="100%" align="center" border="0"> <tr> <td style="BORDER-BOTTOM: black 1px solid" width="30%"> <p style="MARGIN: 0px">CUSIP No. 46520M204</p></td> <td style="BORDER-BOTTOM: black 1px solid"> <p style="MARGIN: 0px" align="center">13D</p></td> <td style="BORDER-BOTTOM: black 1px solid" width="30%"> <p style="MARGIN: 0px" align="right">Page&nbsp;4 of 4 Pages</p></td></tr></table></p></b> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px" align="center"><b>SIGNATURE</b></p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">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. </p> <p style="MARGIN: 0px">&nbsp;&nbsp;</p> <p style="MARGIN: 0px"> <table style="FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cellpadding="0" width="100%" border="0"> <tr> <td>&nbsp;</td> <td colspan="2"><b>EQS Group AG</b></td> <td></td></tr> <tr> <td width="50%">&nbsp;</td> <td width="3%">&nbsp;</td> <td width="35%">&nbsp;</td> <td width="12%">&nbsp;</td></tr> <tr> <td>Dated: November&nbsp;9, 2018</td> <td>By:</td> <td style="BORDER-BOTTOM: black 1px solid"><em>/s/ Andre Silverio Marques</em></td> <td></td></tr> <tr> <td> <p style="MARGIN: 0px">&nbsp;</p></td> <td> <p style="MARGIN: 0px">&nbsp;</p></td> <td>Andre Silverio Marques</td> <td>&nbsp;</td></tr> <tr> <td>&nbsp;</td> <td>&nbsp;</td> <td>Chief Financial Officer </td> <td>&nbsp;</td></tr></table></p> <p style="MARGIN: 0px 0px 0px 0in" align="center"><u></u>&nbsp;</p> <table id="pagebreak935d2152-9de2-4631-8bcd-e5831c27250b" class="pagebreak" style="FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cellpadding="0" width="100%" border="0"> <tr> <td class="hpbhr">&nbsp;</td></tr> <tr> <td style="BORDER-BOTTOM: black 1px solid">&nbsp;</td></tr> <tr> <td> <div style="WIDTH: 100%; PAGE-BREAK-AFTER: always; LINE-HEIGHT: 0px"></div>&nbsp;</td></tr> <tr> <td>&nbsp;</td></tr></table> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in" align="center"><u>SCHEDULE A</u></p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in" align="center"><b>TRANSACTIONS DURING PAST 60 DAYS</b><u></u></p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in" align="justify">Transactions in Common Stock effected by the Reporting during the past 60 days are set forth below. Such transactions involved the purchase of shares on the NYSE American (formerly NYSE MKT) Stock Market and other market places. The Reporting Person hereby undertakes to provide upon request to the SEC staff full information regarding the number of shares and prices at which each transaction was effected.</p> <p style="MARGIN: 0px">&nbsp;</p> <table style="BORDER-RIGHT: black 1px solid; BORDER-BOTTOM: black 1px solid; TEXT-ALIGN: justify; FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cellpadding="5" width="85%" align="center" border="0"> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="24%"> <p style="MARGIN: 0px"><b><u>Date</u></b></p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"> <p style="MARGIN: 0px"><b><u>Type</u></b></p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"> <p style="MARGIN: 0px"><b><u>Price</u></b></p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="20%"> <p style="MARGIN: 0px"><b><u>Shares</u></b></p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="24%"> <p style="MARGIN: 0px">11/08/2018</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"> <p style="MARGIN: 0px">Sales</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="27%"> <p style="MARGIN: 0px">$ 12.14*</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="20%"> <p style="MARGIN: 0px">9,502</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="24%"> <p style="MARGIN: 0px">11/07/2018</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="27%"> <p style="MARGIN: 0px">$ 12.36*</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="20%"> <p style="MARGIN: 0px">17,597</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="24%"> <p style="MARGIN: 0px">11/02/2018</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="27%"> <p style="MARGIN: 0px">$ 14.01**</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="20%"> <p style="MARGIN: 0px">945</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="24%"> <p style="MARGIN: 0px">10/26/2018</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="27%"> <p style="MARGIN: 0px">$ 13.70</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="20%"> <p style="MARGIN: 0px">6,001</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="24%"> <p style="MARGIN: 0px">10/25/2018</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="27%"> <p style="MARGIN: 0px">$ 14.69</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="20%"> <p style="MARGIN: 0px">&nbsp;4,462</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="24%"> <p style="MARGIN: 0px">10/23/2018</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="27%"> <p style="MARGIN: 0px">$ 14.75***</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="20%"> <p style="MARGIN: 0px">&nbsp;120</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="24%"> <p style="MARGIN: 0px">10/22/2018</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="27%"> <p style="MARGIN: 0px">$ 14.82****</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="20%"> <p style="MARGIN: 0px">&nbsp;728</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="24%"> <p style="MARGIN: 0px">10/17/2018</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="27%"> <p style="MARGIN: 0px">$ 15.00*****</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="20%"> <p style="MARGIN: 0px">&nbsp;3,500</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="24%"> <p style="MARGIN: 0px">10/15/2018</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="27%"> <p style="MARGIN: 0px">&nbsp;$ 15.00</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="20%"> <p style="MARGIN: 0px">&nbsp;100</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="24%"> <p style="MARGIN: 0px">10/12/2018</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="27%"> <p style="MARGIN: 0px">$ 15.15</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="20%"> <p style="MARGIN: 0px">&nbsp;1</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="24%"> <p style="MARGIN: 0px">10/09/2018</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="27%"> <p style="MARGIN: 0px">$ 15.30</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="20%"> <p style="MARGIN: 0px">&nbsp;3</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="24%"> <p style="MARGIN: 0px">10/04/2018</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="27%"> <p style="MARGIN: 0px">$ 15.54******</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="20%"> <p style="MARGIN: 0px">&nbsp;1,000</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="24%"> <p style="MARGIN: 0px">10/03/2018</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="27%"> <p style="MARGIN: 0px">$ 15.58*******</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="20%"> <p style="MARGIN: 0px">&nbsp;4,008</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="24%"> <p style="MARGIN: 0px">10/02/2018</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="27%"> <p style="MARGIN: 0px">$ 15.43********</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="20%"> <p style="MARGIN: 0px">&nbsp;803</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="24%"> <p style="MARGIN: 0px">10/01/2018</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="27%"> <p style="MARGIN: 0px">$ 15.35*********</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="20%"> <p style="MARGIN: 0px">&nbsp;1,900</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="24%"> <p style="MARGIN: 0px">09/27/2018</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="27%"> <p style="MARGIN: 0px">$ 15.54</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="20%"> <p style="MARGIN: 0px">&nbsp;1,917</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="24%"> <p style="MARGIN: 0px">09/25/2018</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="27%"></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="27%"> <p style="MARGIN: 0px">$ 15.76**********</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="bottom" width="20%"> <p style="MARGIN: 0px">&nbsp;989</p></td></tr></table> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">* This transaction was executed in multiple trades at prices ranging from $12.20 - 12.50.</p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">** This transaction was executed in multiple trades at prices ranging from $14.00 &#8211; 14.03.</p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">*** This transaction was executed in multiple trades at prices ranging from $14.75 &#8211; 14.75.</p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">**** This transaction was executed in multiple trades at prices ranging from $14.75 &#8211; 14.80.</p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">***** This transaction was executed in multiple trades at prices ranging from $15.00 &#8211; 15.00.</p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">****** This transaction was executed in multiple trades at prices ranging from $15.48 &#8211; 15.61.</p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">******* This transaction was executed in multiple trades at prices ranging from $15.10 &#8211; 15.60</p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">******** This transaction was executed in multiple trades at prices ranging from $15.05 &#8211; 15.60</p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">********* This transaction was executed in multiple trades at prices ranging from $15.07 &#8211; 15.45</p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">********** This transaction was executed in multiple trades at prices ranging from $15.45 &#8211; 15.85</p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">*********** This transaction was executed in multiple trades at prices ranging from $12.55 - 12.55.</p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in"> <table class="pagebreak" style="FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cellpadding="0" width="100%" border="0"> <tr> <td style="BORDER-BOTTOM: black 1px solid">&nbsp;</td></tr></table></p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px">&nbsp;</p></BODY><!--Document Created by EDGARMaster--></html>
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