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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GLENN JOHN C/O EKSO BIONICS HOLDINGS, INC. 1414 HARBOUR WAY SOUTH, SUITE 1201 RICHMOND, CA 94804 |
Chief Financial Officer |
/s/ John Glenn | 04/01/2020 | |
**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) | The grant of the RSUs was approved by the compensation committee of the company's board of directors on November 6, 2019 contingent upon (a) approval by the company's stockholders at the next occurring special or annual meeting of the stockholders (to increase the number of shares reserved for issuance under the company's Amended and Restated 2014 Equity Incentive Plan to accommodate the grants of the RSUs), which approval was obtained at a special meeting of the stockholders on March 12, 2020, and (b) the company filing a registration statement on Form S-8 with the Securities and Exchange Commission (the "SEC") to register the offer and sale of the shares underlying the RSUs, which registration statement was filed with the SEC on April 1, 2020. |
(2) | The grant consists of restricted stock units ("RSUs") that vest as to one quarter (1/4th) of the total number listed above on November 15, 2020, and as to an additional one quarter (1/4th) of the total number of RSUs listed above on November 15 of each following year. |
(3) | After taking into account the 1-for-15 reverse stock split effective March 24, 2020. |