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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 | ||||||||
Options (Right-to-Buy) | $ 1.3 | 07/01/2022 | A(2) | 50,000 | (1) | 07/01/2027 | Common Stock | 50,000 | $ 1.3 | 50,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Singh Linda L C/O WAVEDANCER, INC 12015 LEE JACKSON MEMORIAL HWY STE 210 FAIRFAX, VA 22033 |
X |
/s/ Matthew T. Sands, Atty-in-fact | 07/06/2022 | |
**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) | One-half of awarded shares vest each year over two years. 25,000 shares are exercisable on 07/01/2023 and an additional 25,000 shares are exercisable on 07/01/2024. For a director who has not resigned from the Board and who has not been renominated to serve as a director other than as a result of any allegation of misconduct involving such director in reference to the Company or otherwise, all Non-Vested Options which such director holds shall become vested upon the expiration of such director's term and the Options shall remain exercisable until such Options would otherwise expire. |
(2) | Granted pursuant to and in accordance with the WaveDancer 2021 Stock Incentive Plan. |