-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Kjxw+f7wAPDbtW/GhAKYaIau/2f/XBdEzz4FqQrfdbWQBsSsXe5S/szjzR3sEQrI /SMChycTesYcgy+yao7FKQ== 0000914749-99-000006.txt : 19990518 0000914749-99-000006.hdr.sgml : 19990518 ACCESSION NUMBER: 0000914749-99-000006 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990331 FILED AS OF DATE: 19990517 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CAI WIRELESS SYSTEMS INC CENTRAL INDEX KEY: 0000914749 STANDARD INDUSTRIAL CLASSIFICATION: CABLE & OTHER PAY TELEVISION SERVICES [4841] IRS NUMBER: 061324691 STATE OF INCORPORATION: CT FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 033-71662 FILM NUMBER: 99626566 BUSINESS ADDRESS: STREET 1: 18 CORPORATE WOODS BLVD STREET 2: THIRD FLOOR CITY: ALBANY STATE: NY ZIP: 12211 BUSINESS PHONE: 5184622632 MAIL ADDRESS: STREET 1: 18 CORPORATE WOODS BLVD STREET 2: 3RD FLOOR CITY: ALBANY STATE: NY ZIP: 12211 COMPANY DATA: COMPANY CONFORMED NAME: HAPP ROBERT D CENTRAL INDEX KEY: 0001086501 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 18 CORPORATE WOODS BLVD STREET 2: THIRD FLOOR CITY: ALBANY STATE: NY ZIP: 12211 MAIL ADDRESS: STREET 1: 18 CORPORATE WOODS BLVD STREET 2: THIRD FLOOR CITY: ALBANY STATE: NY ZIP: 12211 5 1
/ / CHECK BOX IF NO LONGER ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP SUBJECT TO SECTION 16. FORM 4 OR FORM 5 OBLI- Filed pursuant to Section 16(a) of the Securities GATIONS MAY CONTINUE Exchange Act of 1934, Section 17(a) of the Public SEE INSTRUCTION 1(b). Utility Holding Company Act of 1935 or Section 30(f) / / FORM 3 HOLDINGS REPORTED of the Investment Company Act of 1940 /X/ FORM 4 TRANSACTIONS REPORTED - ------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------- 1. Name and Address of Reporting Person*|2. Issuer Name and Ticker or Trading Symbol |6. Relationship of Reporting Person(s) | | |to Issuer | HAPP, ROBERT D. | CAI WIRELESS SYSTEMS, INC.(CWSS) |(Check all applicable) | (Last) (First) (Middle)| ----------------------------------- |_X__ Director ____ 10% Owner | |3. I.R.S. Identification 4. Statement for |____ Officer (give ____ Other | | Number of Reporting Month/Year | title (specify | 18 CORPORATE WOODS BOULEVARD | Person, if an entity March 1999 | below) below) | (Street) | (voluntary) 5. If Amendment, | __________________________ | | Date of |7. Individual or Joint/Group Reporting | ALBANY, NEW YORK 12211 | Original | (check applicable line) | (City) (State) (Zip) | (Month/Year) | _X__ Form Filed by One Reporting Person| | | ____ Form Filed by More than One | | | Reporting Person | - -------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------- Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security |2. Transaction |3. Transaction |4. Securities Acquired (A)|5. Amount of |6. Ownership |7. Nature of| (Instr. 3) |Date (Month/ |Code (Instr. 8) |or Disposed of (D) |Beneficially |Form: Direct |Indirect | |Day/Year) | |(Instr. 3,4 and 5) |Owned at end |(D) or |Beneficial | | | | ----------------------- |of Issuer's |Indirect (I) |Ownership | | | | | | |Fiscal Year |(Instr. 4) |(Instr. 4) | | | | |(A) or| |(Instr. 3 | | | | | | Amount | (D) | Price |and 4) | | | | | | | | | | | | - -------------------------------------------------------------------------------------------------------------------------------| None | | | | | | | | | | | | | | | | | | | | | | | | | | | - -------------------------------------------------------------------------------------------------------------------------------|
FORM 5 (continued Table II - Derivative Securities Acquired, Disposed of, Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
- ----------------------------------------------------------------------------------------------------------------------------------- 1.Title |2.Conver-|3.Trans- |4.Trans- |5.Number of |6.Date |7.Title and |8.Price |9.Number |10.Owner- |11.Nature | of |sion or |action |action |Derivative |Exercisable |Amount of |of Deriva-|of Deri- |ship of |of | Derivative|Exercise |Date |Code |Securities |and Expiration |Underlying |tive |vative |Derivative |Indirect | Security |Price of |(Month/ |(Instr. |Acquired(A) |Date(Month/ |Securities |Security |Securities|Security: |Beneficial| (Instr.3) |Deriva- |Day/Year)|8) |or Disposed |Day/Year) |(Instr.3 |(Instr.5) |Benefic- |Direct (D) |Ownership | |tive | | |of(D) | |and 4) | |ially |or Indirect|(Inst. 4) | |Security | | |(Instr. 3, |----------------|--------------| |Owned at |(I) | | | | | |4 and 5) |Date | Expira-| |Amount| |End of |(Instr. 4) | | | | | |------------|Exer- | tion |Title |Number| |Year | | | | | | |(A) | (D) |cisable| Date | |of | |(Instr.4) | | | | ($) | | | | | | | |Shares| | | | | - ----------|---------|---------|---------|------|-----|-------|--------|-------|------|----------|----------|-----------|----------| Option to | $.01 |10/14/98 | A4* |25,000| | * | * |Common |25,000| * | 17,500 | (D) | | Purchase | | | | | | | |Stock | | | | | | - ----------|---------|---------|---------|------|-----|-------|--------|-------|------|----------|----------|-----------|----------|
Explanation of Responses: * Awarded under Issuer's 1998 Outside Directors' Stock Option Plan. Reporting Person was granted options to purchase 25,000 shares of CAI Common Stock. Vesting occurs as follows: options to purchase 10,000 shares of CAI Common Stock vest on the day which is three months following the grant date; options to purchase 7,500 shares of CAI Common Stock vest on the day which is eight months following the grant date, and options to purchase 7,500 shares of CAI Common Stock vest on the one-year anniversary of the grant date. The options expire on the tenth anniversary of the grant date. The options vest in full upon change of control. Reporting Person became a director of Issuer on October 14, 1998.
** Intentional misstatements or omissions of facts /s/ Robert D. Happ 5-13-99 constitute Federal Criminal Violations, ** Signature of Reporting Person Date 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 provided is insufficient, SEE Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. -----END PRIVACY-ENHANCED MESSAGE-----