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) 04/08/2013 |
3. Issuer Name and Ticker or Trading Symbol
Jive Software, Inc. [ JIVE ] |
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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 | 26,337 | D | |
Common Stock | 201,566 | I | See Footnote(1) |
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 | ||||
Employee Stock Option (right to buy) | (2) | 05/23/2022 | Common Stock | 17,500 | $17.41 | D | |
Employee Stock Option (right to buy) | (3) | 11/08/2022 | Common Stock | 32,800 | $12.15 | D | |
Employee Stock Option (right to buy) | (4) | 03/21/2023 | Common Stock | 30,000 | $16.34 | D | |
Restricted Stock Units | (5) | 03/15/2017 | Common Stock | 17,500 | $0.00(6) | D | |
Restricted Stock Units | (7) | 03/15/2017 | Common Stock | 32,800 | $0.00(6) | D | |
Restricted Stock Units | (8) | 03/15/2018 | Common Stock | 30,000 | $0.00(6) | D |
Explanation of Responses: |
1. Shares are held by a trust for the benefit of the Reporting Person. |
2. 25% of the shares underlying the option vest on May 23, 2013, and an additional 1/36 of the remaining amount vests monthly over the 36 months thereafter with full vesting occurring on May 23, 2016. |
3. 25% of the shares underlying the option vest on November 18, 2013, and an additional 1/36 of the remaining amount vests monthly over the 36 months thereafter with full vesting occurring on November 18, 2016. |
4. 25% of the shares underlying the option vest on March 21, 2014, and an additional 1/36 of the remaining amount vests monthly over the 36 months thereafter with full vesting occurring on March 21, 2017. |
5. The restricted stock units vest in four equal annual installments beginning May 16, 2013, with the exception of 2015, when such units will vest on May 18. Vested shares will be delivered to the reporting person as soon as practicable after vesting and no later than the date that is two and one-half (2 1/2) months from the end of JIVE's tax year that includes the vesting date. |
6. Each restricted stock unit represents the contingent right to receive one share of JIVE common stock. |
7. The restricted stock units vest in four equal annual installments beginning November 18, 2013 and will vest on November 17, 2014, November 16, 2015 and November 16, 2016. Vested shares will be delivered to the reporting person as soon as practicable after vesting and no later than the date that is two and one-half (2 1/2) months from the end of JIVE's tax year that includes the vesting date. |
8. The restricted stock units vest in four equal annual installments beginning May 16, 2014, with the exception of 2015, when such units will vest on May 18. Vested shares will be delivered to the reporting person as soon as practicable after vesting and no later than the date that is two and one-half (2 1/2) months from the end of JIVE's tax year that includes the vesting date. |
Remarks: |
SVP Product Management & Design |
/s/ Kate Johnson, by power of attorney for Oudi Antebi | 04/16/2013 | |
** 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. |