| 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
AUTHENTIDATE HOLDING CORP [ ADAT ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 01/15/2016 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) 01/20/2016 |
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 | ||||||
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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 | ||||||||
| Warrant (right to buy) | $12.06 | 01/15/2016 | D(1) | 4,146 | 09/14/2012 | 03/14/2017 | Common Stock | 4,146 | $0.00 | 0 | D | ||||
| Warrant (right to buy) | $12.06 | 01/15/2016 | A(1) | 4,146 | 01/15/2016 | 03/14/2020 | Common Stock | 4,146 | $0.00 | 4,146 | D | ||||
| Warrant (right to buy) | $12.06 | 01/15/2016 | D(1) | 4,306 | 03/28/2013 | 09/28/2017 | Common Stock | 4,306 | $0.00 | 0 | D | ||||
| Warrant (right to buy) | $12.06 | 01/15/2016 | A(1) | 4,306 | 01/15/2016 | 09/28/2020 | Common Stock | 4,306 | $0.00 | 4,306 | D | ||||
| Warrant (right to buy) | $12.06 | 01/15/2016 | D(1) | 3,014 | 03/28/2013 | 09/28/2017 | Common Stock | 3,014 | $0.00 | 0 | D | ||||
| Warrant (right to buy) | $12.06 | 01/15/2016 | A(1) | 3,014 | 01/15/2016 | 09/28/2020 | Common Stock | 3,014 | $0.00 | 3,014 | D | ||||
| Warrant (right to buy) | $8.55 | 01/15/2016 | D(1) | 11,111 | 12/20/2013 | 06/20/2018 | Common Stock | 11,111 | $0.00 | 0 | D | ||||
| Warrant (right to buy) | $8.55 | 01/15/2016 | A(1) | 11,111 | 01/15/2016 | 06/20/2021 | Common Stock | 11,111 | $0.00 | 11,111 | D | ||||
| Warrant (right to buy) | $7.9875 | 01/15/2016 | D(1) | 2,440 | 03/03/2015 | 09/03/2019 | Common Stock | 2,440 | $0.00 | 0 | D | ||||
| Warrant (right to buy) | $7.9875 | 01/15/2016 | A(1) | 2,440 | 01/15/2016 | 09/03/2022 | Common Stock | 2,440 | $0.00 | 2,440 | D | ||||
| Explanation of Responses: |
| 1. The reported transactions involve an amendment of the warrants to amend the expiration date, resulting in the deemed cancellation of the old warrants and the simultaneous issuance of new warrants for purposes of Section 16. The amendment to the warrants was in consideration of the Reporting Person entering into a lockup agreement with the issuer. This Form 4/A is being filed to correct the transaction codes reported in column 4 of Table II of the original Form 4 filed on January 20, 2016 which were inadvertently reported as "J". The correct transaction codes for the covered transactions are reflected in column 4 of Table II of this Form 4/A. |
| Remarks: |
| Except for the change to the transaction codes described in note 1, above, there are no other changes to the original Form 4; however, the number of shares of common stock and the exercise prices of the derivative securities reported on this Form 4/A have been adjusted to reflect the one-for-nine reverse stock split implemented by the issuer on January 22, 2016. |
| /s/ William A. Marshall | 03/29/2016 | |
| ** 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. | ||