3: Initial statement of beneficial ownership of securities
Published on December 17, 2014
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option (2) | 02/18/2015 | 02/18/2018 | Common Stock | 10,000 | $ 3 | D | |
Option (2) | 08/18/2015 | 08/18/2018 | Common Stock | 10,000 | $ 3 | D | |
Option (2) | 02/18/2016 | 02/18/2019 | Common Stock | 10,000 | $ 4 | D | |
Option (2) | 08/18/2016 | 08/18/2019 | Common Stock | 10,000 | $ 4 | D | |
Option (2) | 02/18/2017 | 02/18/2020 | Common Stock | 10,000 | $ 5 | D | |
Option (2) | 08/18/2017 | 08/18/2020 | Common Stock | 10,000 | $ 5 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
O'Connell Michael James 1 SCOTTS ROAD #24-05 SHAW CENTRE SINGAPORE, U0 228208 |
Chief Financial Officer |
Signatures
Michael J. O'Connell | 12/17/2014 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | If the form is filed by more than one reporting person, see Instruction 5(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) | On July 1, 2014, Mr. Mike O'Connell was appointed to serve as the Company's Chief Financial Officer. |
(2) | On August 18, 2014, the Company granted to Mr. O'Connell (the "Optionee") a total of 60,000 options pursuant to the Company's Equity Incentive Plan. Of the 60,000 total options granted, 1/6th or 10,000 shares vest every six months after the grant date, subject to the Optionee's continued service as of the vesting date(s). |