SEC Form 4 · accession 0001140361-16-079130
COUNTERPATH CORP · CPAH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Todd Carothers
Officer — EVP Sales & Marketing
Period of report
Aug 31, 2016
Accepted (ET)
Sep 7, 2016 · 7:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001236997
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Aug 31, 2016 | A | 120 | $2.19 | A | 4,600 | D | |
| Common Shares | holding | — | — | — | 4,480 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $17.00 | holding | — | — | — | Dec 14, 2011 | Dec 14, 2016 | Common | 15,000 | 15,000 | D |
| Stock Options | $29.00 | holding | — | — | — | Jul 19, 2012 | Jul 19, 2017 | Common | 20,000 | 35,000 | D |
| Stock Options | $19.00 | holding | — | — | — | Jul 25, 2013 | Jul 25, 2018 | Common | 5,000 | 40,000 | D |
| Stock Options | $11.50 | holding | — | — | — | Jul 11, 2014 | Jul 11, 2019 | Common | 10,000 | 50,000 | D |
| Stock Options | $5.00 | holding | — | — | — | Jul 17, 2015 | Jul 17, 2020 | Common | 7,500 | 57,500 | D |
| Deferred Share UnitsF2 | — | holding | — | — | — | Sep 3, 2011 | — | Common | 2,203 | 2,203 | D |
| Deferred Share UnitsF2 | — | holding | — | — | — | Jul 25, 2011 | — | Common | 1,622 | 3,824 | D |
Explanation of responses
- F1These shares were purchased through an Employee Share Purchase Plan.
- F2Each deferred share unit is convertible into one common share of CounterPath Corporation at no additional cost. There is no expiry date. The deferred share units are fully vested.