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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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Jordan Harry Baker III C/O COGINT, INC. 2650 N. MILITARY TRAIL, SUITE 300 BOCA RATON, FL 33431 |
Chief Operating Officer |
/s/ Harry Jordan | 09/11/2017 | |
**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 September 7, 2017, the reporting person received a grant of 50,000 restricted stock units ("RSUs"), convertible into common stock of the issuer on a one-for-one basis. The RSUs vest in three approximately equal installments on September 1, 2018, 2018 and 2019, subject to accelerated vesting under certain conditions. |
(2) | Represents restricted stock units, convertible into common stock of the issuer on a one-for-one basis originally granted on April 13, 2017. The remaining 33,334 remaining restricted stock units vest annually in two equal installments on June 1, 2018 and June 1, 2019, subject to accelerated vesting in certain conditions. |
(3) | Reporting Person's Spouse is the Trustee of a Revocable Trust for the benefit of the Reporting Person's Spouse. |
(4) | Represents restricted stock units, convertible into common stock of the issuer on a one-for-one basis originally granted on August 8, 2016. The remaining 66,666 remaining restricted stock units vest annually in two equal installments on August 8, 2018 and August 8, 2019, subject to accelerated vesting in certain conditions. |