FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
MOBIUS MANAGEMENT SYSTEMS INC [ MOBI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 06/15/2007 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, par value $0.0001 per share | 06/15/2007 | P | 3,850(1) | D | $10.05 | 0 | I | See Footnote(1) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option (Non-Qualified) | $11 | 06/15/2007 | J(2) | 0 | (3) | 02/25/2008 | Common Stock | 10,000(2) | $10.05 | 0 | D | ||||
Option (Non-Qualified) | $7.75 | 06/15/2007 | J(2) | 0 | (3) | 01/07/2010 | Common Stock | 10,000(2) | $10.05 | 0 | D | ||||
Option (Non-Qualified) | $3.75 | 06/15/2007 | J(2) | 0 | (3) | 02/06/2011 | Common Stock | 10,000(2) | $10.05 | 0 | D | ||||
Option (Non-Qualified) | $3.1 | 06/15/2007 | J(2) | 0 | (3) | 01/10/2012 | Common Stock | 10,000(2) | $10.05 | 0 | D | ||||
Option (Non-Qualified) | $2.89 | 06/15/2007 | J(2) | 0 | (3) | 01/27/2013 | Common Stock | 10,000(2) | $10.05 | 0 | D | ||||
Option (Non-Qualified) | $10.46 | 06/15/2007 | J(2) | 0 | (3) | 12/16/2013 | Common Stock | 10,000(2) | $10.05 | 0 | D | ||||
Option (Non-Qualified) | $6.18 | 06/15/2007 | J(2) | 0 | (3) | 02/09/2015 | Common Stock | 10,000(2) | $10.05 | 0 | D | ||||
Option (Non-Qualified) | $6.63 | 06/15/2007 | J(2) | 0 | (3) | 02/07/2016 | Common Stock | 10,000(2) | $10.05 | 0 | D | ||||
Option (Non-Qualified) | $6.6 | 06/15/2007 | J(2) | 0 | (3) | 02/06/2017 | Common Stock | 10,000(2)(4) | $10.05 | 0 | D |
Explanation of Responses: |
1. Includes 1,500 shares of common stock held in trust by Mr. Kopelman?s wife, as trustee, for Mr. Kopelman?s three children. Mr. Kopelman disclaims beneficial ownership of such shares. Also includes 2,350 shares of common stock held jointly by Mr. Kopelman and his wife. Represents shares of the common stock, par value $0.0001 per share (?Common Stock?) of Mobius Management Systems, Inc. (?Mobius?) acquired by ASG M& A, Inc. (?ASG M& A?), a wholly-owned subsidiary of Allen Systems Group, Inc. (?ASG?), pursuant to a merger which occurred on the transaction date indicated above (the ?Merger?) in accordance with an Agreement and Plan of Merger, dated April 11, 2007, among Mobius, ASG and ASG M& A (the ?Merger Agreement?). |
2. Represents options to purchase Common Stock of Mobius which vested and were canceled upon completion of the Merger pursuant to the Merger Agreement. |
3. These options were canceled in the merger in exchange for a cash payment equal to the product of (i) the number of shares of the Common Stock subject to the award; and (ii) the excess, if any, of the per share merger consideration over the exercise price per share of the award. |
4. Represents 2,500 options which vested on May 6, 2007 and 7,500 options which did not vest prior to being canceled upon completion of the Merger pursuant to the Merger Agreement described above. |
Remarks: |
/s/ David Gordon as Attorney In fact for Kenneth P. Kopelman | 06/18/2007 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |