Amended Statement of Beneficial Ownership (3/a)
2014年7月2日 - 6:55AM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
|
|
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
*
Sobon Wayne
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/6/2014
|
3. Issuer Name
and
Ticker or Trading Symbol
Inventergy Global, Inc. [INVT]
|
(Last)
(First)
(Middle)
C/O INVENTERGY GLOBAL, INC., 900 E. HAMILTON AVENUE, SUITE 180
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
___
X
___ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
See Remarks /
|
(Street)
CAMPBELL, CA 95008
(City)
(State)
(Zip)
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
6/16/2014
|
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 Beneficially Owned
|
1.Title of Security
(Instr. 4)
|
2. Amount of Securities Beneficially Owned
(Instr. 4)
|
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
|
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Common Stock, $0.001 par value per share
|
2103176
(1)
(2)
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
|
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(
1)
|
The shares of common stock (the "Shares") being reported by the Reporting Person were issued pursuant to non-plan stock grants dated February 5, 2013. The Shares are subject to forfeiture to the issuer upon the termination of the Reporting Person's service before the Shares have vested. With respect to 50% of the Shares, 20% vested immediately upon granting and a portion of the remaining shares vest annually over a three year period. With respect to the remaining 50% of the Shares, the forfeiture condition lapses and the Shares vest upon achieving specified milestones, including repayment of the certain senior secured notes of the issuer, certain licensing stages are completed and upon acquisitions of additional patent portfolios. All such Shares are held in escrow by the issuer and are subject to a right of first refusal in the event of a proposed sale or transfer.
|
(
2)
|
This amendment to Form 3 is being filed to correct a mistake on the originally filed Form 3 by reducing the number of shares beneficially owned by the Reporting Person by 17,674 shares.
|
Remarks:
Senior Vice President, General Counsel and Secretary
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Sobon Wayne
C/O INVENTERGY GLOBAL, INC.
900 E. HAMILTON AVENUE, SUITE 180
CAMPBELL, CA 95008
|
|
X
|
See Remarks
|
|
Signatures
|
/s/ Wayne Sobon
|
|
6/30/2014
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 5(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).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
Inventergy Global (CE) (USOTC:INVT)
過去 株価チャート
から 6 2024 まで 7 2024
Inventergy Global (CE) (USOTC:INVT)
過去 株価チャート
から 7 2023 まで 7 2024
Real-Time news about Inventergy Global Inc (CE) (その他OTC): 0 recent articles
その他のInventergy Global, Inc.ニュース記事