4: Statement of changes in beneficial ownership of securities
Published on October 31, 2014
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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 | ||||||||
Non-Qualified Stock Option | $ 2.97 | 10/30/2014 | A | 10,000 | (2) | 10/23/2024 | Common Stock | 10,000 | (2) | 10,000 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Oppenheim Leonard A C/O SYSOREX GLOBAL HOLDINGS CORP. 2479 E. BAYSHORE ROAD, SUITE 195 PALO ALTO, CA 94303 |
X |
Signatures
/s/ Leonard A. Oppenheim | 10/31/2014 | |
**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 reporting person is a participant in the Company's Amended and Restated 2011 Employee Stock Incentive Plan, as amended from time to time (the "Plan"). Amount includes a fully vested restricted stock award equal to 5,000 shares of the Company's common stock ("Common Stock") granted for services to be rendered by the reporting person as a member of the Board of Directors pursuant to a Restricted Stock Award Agreement dated October 30, 2014. Amount also includes 3,572 shares of Common Stock issuable for services rendered during the quarter ended June 30, 2014. |
(2) | The reporting person received a Non-Qualified Stock Option to purchase shares of Common Stock under the Plan for services to be rendered by the reporting person as a member of the Board of Directors pursuant to a Non-Qualified Stock Option Agreement dated October 30, 2014. The Non-Qualified Stock Option vests over a four-year period beginning on the issuance date in increments of 1/48th per month. |