| 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) 01/13/2014 |
3. Issuer Name and Ticker or Trading Symbol
Interactive Intelligence Group, Inc. [ ININ ] |
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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 | 3,710 | D | |
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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 | ||||
| Stock Option (right to Buy) | (1) | 07/01/2014 | Common Stock | 250 | $6 | D | |
| Stock Option (right to Buy) | (2) | 10/01/2014 | Common Stock | 250 | $3.53 | D | |
| Stock Option (right to Buy) | (3) | 01/12/2015 | Common Stock | 2,000 | $6.66 | D | |
| Stock Option (right to Buy) | (4) | 01/22/2016 | Common Stock | 2,000 | $19.66 | D | |
| Restricted Stock Units | (5) | (5) | Common Stock | 500 | $0(9) | D | |
| Stock Option (right to Buy) | (6) | 04/20/2018 | Common Stock | 10,000 | $30.92 | D | |
| Stock Option (right to Buy) | (7) | 01/11/2019 | Common Stock | 5,000 | $39.97 | D | |
| Restricted Stock Units | (8) | (8) | Common Stock | 1,250 | $0(9) | D | |
| Explanation of Responses: |
| 1. 125 options vested on each of July 1, 2007 and 2008. |
| 2. 125 options vested on each of October 1, 2007 and 2008. |
| 3. 500 options vested on each of January 12, 2010, 2011, 2012 and 2013. |
| 4. 500 options vested on each of January 22, 2011, 2012, and 2013 and 500 options will vest on January 22, 2014. |
| 5. 250 RSU's will vest on each of March 22, 2014 and 2015. |
| 6. 2,500 options vested on April 20, 2013 and 2,500 options will vest on each of April 20, 2014, 2015 and 2016. |
| 7. 1,250 options vested on January 11, 2014 and 1,250 options will vest on each of January 11, 2015, 2016 and 2017. |
| 8. 417 RSU's will vest on each of January 11, 2015 and 2016 and 416 RSU's will vest on January 11, 2017. |
| 9. Each restricted stock unit ("RSU") represents a contingent right to receive one share of Interactive Intelligence Group, Inc. common stock. |
| Remarks: |
| /s/ Ashley A. Vukovits, Attorney-in-fact | 01/17/2014 | |
| ** 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. | ||