0001140361-15-014637.txt : 20150407 0001140361-15-014637.hdr.sgml : 20150407 20150407161636 ACCESSION NUMBER: 0001140361-15-014637 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150402 FILED AS OF DATE: 20150407 DATE AS OF CHANGE: 20150407 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CollabRx, Inc. CENTRAL INDEX KEY: 0000931059 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 680370244 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 44 MONTGOMERY STREET, SUITE 800 CITY: SAN FRANCISCO STATE: CA ZIP: 94104-4811 BUSINESS PHONE: (415) 248-5350 MAIL ADDRESS: STREET 1: 44 MONTGOMERY STREET, SUITE 800 CITY: SAN FRANCISCO STATE: CA ZIP: 94104-4811 FORMER COMPANY: FORMER CONFORMED NAME: TEGAL CORP /DE/ DATE OF NAME CHANGE: 19950918 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vidwans Smruti J. CENTRAL INDEX KEY: 0001638804 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35141 FILM NUMBER: 15756957 MAIL ADDRESS: STREET 1: 44 MONTGOMERY STREET STREET 2: SUITE 800 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 3 1 doc1.xml FORM 3 X0206 3 2015-04-02 0 0000931059 CollabRx, Inc. CLRX 0001638804 Vidwans Smruti J. 44 MONTGOMERY ST, STE 800 SAN FRANCISCO CA 94104 0 1 0 0 VP and Chief Science Officer Employee Restricted Stock Unit Award 0.00 2023-01-01 Common Stock 10000 D Employee Stock Option 1.99 2024-07-03 Common Stock 12000 D Employee Stock Option 0.75 2024-12-08 Common Stock 10000 D Employee Stock Option 3.94 2022-07-12 Common Stock 30000 D The Reporting Person received 10,000 shares of the company's common stock. All 10,000 shares vested on January 1, 2015 and all shares were distributed to the reporting person. The Option shall vest with respect to one-eighth or twelve and one-half percent (12.5%) of the total number of Shares subject to the Option on each of the first days of the last month of each fiscal quarter following the Vesting Commencement Date, subject to Participant's continued status as an employee on each applicable vesting date, such that all Shares subject to the Option shall be fully vested by June 1, 2016. Beginning date exercisable is July 16, 2015 (or earlier, subject to certain conditions) 10% of the total number of shares subject to the option vested on July 12, 2012, 15% of the total number of shares subject to the option vested on July 12, 2013, and 1/48th of the total number of shares subject to the option shall vest on the last day of each month thereafter. /s/ Thomas R. Mika by Power of Attorney 2015-04-07