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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) |
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 | ||||||||
Common Stock Purchase Warrants (Right to Buy) | $ 0.40 | 07/15/2014 | P | 400,000 | 07/15/2014 | 07/15/2019 | Common Stock | 400,000 | (1) | 400,000 | D | ||||
Employee Stock Option (Right to Buy) | $ 0.25 | 07/16/2014 | A | 2,000,000 | (2) | 07/16/2024 | Common Stock | 2,000,000 | $ 0 | 2,000,000 | D | ||||
Employee Stock Option (Right to Buy) | $ 0.25 | 07/16/2014 | A | 2,000,000 | (3) | 07/16/2024 | Common Stock | 2,000,000 | $ 0 | 2,000,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Stender Tisha C/O COPYTELE, INC. 900 WALT WHITMAN ROAD MELVILLE, NY 11747 |
Chief Operating Officer |
/s/ Tisha Stender | 07/17/2014 | |
**Signature of Reporting Person | Date |
* | 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) | On July 15, 2014, Ms. Stender purchased 800,000 shares of Common Stock, par value $0.01 per share, and 400,000 Warrants to purchase Common Stock, for an aggregate purchase price of $200,000 from CopyTele, Inc. in a registered direct offering. |
(2) | The option vests in 36 equal monthly installments beginning on August 31, 2014. |
(3) | The option vests, if at all, in two equal parts upon achievement of certain Company milestones. |