FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 12/08/2015 |
3. Issuer Name and Ticker or Trading Symbol
Vringo Inc [ VRNG ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, par value $0.01 per share | 21,668(1)(2) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option | (3) | 02/11/2023 | Common Stock | 42,500(2) | $31.8(2) | D | |
Option | (4) | 03/13/2022 | Common Stock | 15,250(2) | $16.5(2) | D | |
Option | (5) | 07/26/2022 | Common Stock | 75,000(2) | $37.2(2) | D |
Explanation of Responses: |
1. Of which, 18,126 shares of common stock are represented by unvested restricted stock units (RSUs). 10,626 of the RSUs vest on March 15, 2016 and 2,500 of the RSUs vest quarterly commencing on March 31, 2016. |
2. The amounts and prices reflect a one-for-ten reverse stock split that was effected by the Issuer on November 27, 2015. |
3. These options were granted on February 2, 2013 and vest quarterly over a period of three years commenced on March 31, 2013. |
4. These options were granted on March 13, 2012 and are fully vested as of the date of this report. |
5. These options were granted on July 26, 2012 and are fully vested as of the date of this report. |
Remarks: |
Exhibit List - Exhibit 24 - Power of Attorney |
/s/ Cliff Weinstein | 12/11/2015 | |
** 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 5 (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. |