4: Statement of changes in beneficial ownership of securities
Published on September 23, 2021
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
(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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option (Right to Buy) | $ 5 | 12/16-05:00/2019 | D(1) | 60,000 | 12/16-05:00/2019 | 03/30-05:00/2023 | Common Stock | 60,000 | $ 0 | 0 | D | ||||
Option (Right to Buy) | $ 5 | 09/21-05:00/2021 | A(1) | 60,000 | 09/21-05:00/2021 | 03/30-05:00/2027 | Common Stock | 60,000 | $ 0 | 60,000 | D | ||||
Option (Right to Buy) | $ 3.6 | 04/13-05:00/2020 | D(2) | 55,000 | 04/13-05:00/2021 | 04/13-05:00/2026 | Common Stock | 55,000 | $ 0 | 0 | D | ||||
Option (Right to Buy) | $ 3.6 | 09/21-05:00/2021 | A(2) | 55,000 | 09/21-05:00/2021 | 04/13-05:00/2030 | Common Stock | 55,000 | $ 0 | 55,000 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rootsaert Rodney Gerard 13215 BEE CAVE PARKWAY SUITE 125 GALLERIA OAKS B AUSTIN, TX 78738 |
Secretary |
Signatures
/s/ Rodney Gerard Rootsaert | 09/23-05:00/2021 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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). |
(1) | The reported transactions involved a cancellation and reissuance of outstanding options upon agreement of the reporting person. The "old" options were originally granted on December 16, 2019, vested in full on the date of grant, and were exercisable until March 30, 2023. The "replacement" options are fully-vested on the date of grant and have an expiration date of March 30, 2027. |
(2) | The reported transactions involved a cancellation and reissuance of outstanding options upon agreement of the reporting person. The "old" options were originally granted on April 13, 2020 and vested in full at 12 months from the date of grant, and were exercisable until April 13, 2026. The "replacement" options are fully-vested on the date of grant and have an expiration date of April 13, 2030. |