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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 | ||||||||
Employee Stock Option (right to buy) | $ 2.85 | 04/20/2017 | A | 12,500 | (1) | 04/20/2027 | Common Stock | 12,500 | $ 0 | 12,500 | D | ||||
Restricted Stock Units | (2) | 04/20/2017 | A | 11,250 | (3) | (3) | Common Stock | 11,250 | $ 0 | 11,250 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Davault Gregory C/O EKSO BIONICS HOLDINGS, INC. 1414 HARBOUR WAY SOUTH, SUITE 1201 RICHMOND, CA 94804 |
Vice Pres., Global Marketing |
Erin M. Anderman, as Attorney-in-Fact | 04/24/2017 | |
**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) | The option becomes exercisable as to 25% of the total number of shares on the one year anniversary of the date of grant and thereafter vests in equal monthly installments for 36 months. |
(2) | Each restricted stock unit represents a contingent right to receive one share of Ekso Bionics Holdings, Inc. common stock. |
(3) | The restricted stock units vest in four equal annual installments beginning on the one year anniversary of the date of grant. Upon vesting, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested. |