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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 | ||||||||
Restricted Stock Units (4) | (1) | 09/29/2014 | A | 80,000 | (2) | (2) | Common Stock | 80,000 | (1) | 80,000 | D | ||||
Restricted Stock Units (4) | (1) | 09/29/2014 | A | 155,090 | (3) | (3) | Common Stock | 155,090 | (1) | 155,090 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Small John C C/O VIGGLE INC. 902 BROADWAY, 11TH FLOOR NEW YORK, NY 10010 |
Chief Financial Officer |
/s/ John Small | 10/01/2014 | |
**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) | Each restricted stock unit represents the right to receive, at settlement, one (1) share of common stock. |
(2) | This restricted stock unit award vests as to 40,000 units on December 4, 2014, to 20,000 units on March 5, 2015, and to 20,000 units on June 4, 2015. |
(3) | This restricted stock unit award vests as to 38,772 units on each of May 1, 2015, May 1, 2016, May 1, 2017, May 1, 2018 and May 1, 2019. |
(4) | All grants reported in this Form 4 are exempt from the provisions of Section 16(b) of the exchange Act pursuant to Rule 16b-3 thereunder. |