Statement of Changes in Beneficial Ownership (4)
2020年8月26日 - 8:18AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
1. Name and Address of Reporting Person
*
Andrea Douglas J |
2. Issuer Name and Ticker or Trading Symbol
ANDREA ELECTRONICS CORP
[
ANDR
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President & CEO |
(Last)
(First)
(Middle)
C/O ANDREA ELECTRONICS CORPORATION, 620 JOHNSON AVENUE, SUITE I-B |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/20/2020 |
(Street)
BOHEMIA, NY 11716
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_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 (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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
|
Common Stock | 8/20/2020 | | P | | 110000 | A | $0.0339 | 2879700 | D | |
Common Stock | 8/24/2020 | | P | | 35100 | A | $0.0340 | 2914800 | D | |
Common Stock | 8/25/2020 | | P | | 4900 | A | $0.0386 | 2919700 | D | |
Common Stock | | | | | | | | 3876 | I | By Daughter |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 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 |
Employee Stock Option (right to buy) | $0.05 | | | | | | | 11/16/2017 (1) | 11/16/2026 | Common Stock | 1400000 | | 1400000 | D | |
Stock Option (right to buy) | $0.06 | | | | | | | 8/7/2016 (2) | 8/7/2025 | Common Stock | 500000 | | 500000 | D | |
Stock Option (right to buy) | $0.1 | | | | | | | 9/2/2015 (3) | 9/2/2024 | Common Stock | 500000 | | 500000 | D | |
Explanation of Responses: |
(1) | Stock Options granted on November 16, 2016 will vest as follows: 33.3% on November 16, 2017, 33.3% on November 16, 2018 and 33.4% November 16, 2019. |
(2) | Stock Options granted on August 7, 2015 will vest as follows: 33.3% on August 7, 2016, 33.3% on August 7, 2017 and 33.4% on August 7, 2018. |
(3) | Stock Options granted on September 2, 2014 vested as follows: 33.3% on September 2, 2015, 33.3% on September 2, 2016 and 33.4% on September 2, 2017. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Andrea Douglas J C/O ANDREA ELECTRONICS CORPORATION 620 JOHNSON AVENUE, SUITE I-B BOHEMIA, NY 11716 | X |
| President & CEO |
|
Signatures
|
/s/ Corisa Guiffre, Power of Attorney | | 8/25/2020 |
**Signature of Reporting Person | Date |
Andrea Electronics (CE) (USOTC:ANDR)
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