|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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 |
|
| |||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: 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 | ||||||||
Stock Option (Right to Buy) | $ 3.78 (2) | 11/02/2018 | A | 10,000 (1) | 11/02/2019 | 11/01/2025 | Common Stock | 10,000 | $ 0 | 10,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Geiss Arthur C/O AKOUSTIS TECHNOLOGIES, INC. 9805 NORTHCROSS CENTER CT, SUITE A HUNTERSVILLE, NC 28078 |
X |
/s/ Arthur Geiss by Andrew Wright, attorney-in-fact | 11/09/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The stock awards reported in Table I and the Stock Options reported in Table II were issued as compensation to AEG Consulting, a firm owned and operated by the reporting person, for consulting services. |
(2) | The reporting person's original Form 4 for this transaction, filed on November 2, 2018 (the "Original Form 4"), is being amended to (i) correct the amount of securities beneficially owned as reported in Column 5 of Table I, which was inadvertently reported as 66,375 in the Original Form 4, and (ii) correct the exercise price of the Stock Options as reported in Column 2 of Table II, which was inadvertently reported as $4.07 in the Original Form 4. |