0001565415-13-000003.txt : 20130628 0001565415-13-000003.hdr.sgml : 20130628 20130628123526 ACCESSION NUMBER: 0001565415-13-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130627 FILED AS OF DATE: 20130628 DATE AS OF CHANGE: 20130628 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PEERLESS SYSTEMS CORP CENTRAL INDEX KEY: 0000897893 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 953732595 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 1055 WASHINGTON BLVD STREET 2: 8TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06901 BUSINESS PHONE: 203-350-0044 MAIL ADDRESS: STREET 1: 1055 WASHINGTON BLVD STREET 2: 8TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06901 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Jeffrey A. Hammer CENTRAL INDEX KEY: 0001442477 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21287 FILM NUMBER: 13939791 BUSINESS ADDRESS: STREET 1: C/O PEERLESS SYSTEMS CORPORATION STREET 2: 300 ATLANTIC STREET, SUITE 301 CITY: STAMFORD STATE: CT ZIP: 06901 BUSINESS PHONE: 203-350-0044 MAIL ADDRESS: STREET 1: C/O PEERLESS SYSTEMS CORPORATION STREET 2: 300 ATLANTIC STREET, SUITE 301 CITY: STAMFORD STATE: CT ZIP: 06901 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2013-06-27 0 0000897893 PEERLESS SYSTEMS CORP PRLS 0001442477 Jeffrey A. Hammer C/O PEERLESS SYSTEMS CORPORATION 300 ATLANTIC STREET, SUITE 301 STAMFORD CT 06901 1 0 0 0 Common Stock 2013-06-27 4 A 0 2696 A 38090 D Options to acquire common stock 3.71 2013-06-27 4 A 0 2000 A 2023-06-27 Common Stock 2000 56000 D Such shares of restricted common stock were issued to Mr. Hammer upon his re-election to the Board at the Company's 2013 annual meeting of stockholders. One half of these shares will vest on the earlier of(i)June 27, 2014 or (ii)the date of the Company's 2014 annual meeting of stockholders, and the other half will vest on the earlier of (i) June 27, 2015 or (ii) the date of the Company's 2015 annual meeting of stockholders. All such shares were received in consideration for Mr. Hammer's service as a director of the Company. Includes 34,106 shares of common stock and 3,984 shares of restricted common stock. Twenty-five percent (25%) of the shares subject to such option shall vest and become exercisable on June 27, 2014 (the completion of one year of service measured from the grant date). The balance of the shares subject to such option shall vest and become exercisable in a series of thirty-six (36) successive equal monthly installments upon completion of each additional month of service after June 27, 2014 until all of the options are vested. All options were received in consideration for Mr. Hammer's service as a director of the Company. /s/ Jeffrey A. Hammer 2013-06-28