SEC Form 4 · accession 0001140361-18-017881
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
Apr 6, 2018
Accepted (ET)
Apr 9, 2018 · 7:41 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 | Apr 6, 2018 | A | 66 | $2.649 | A | 11,092 | D | |
| Common SharesF1 | Apr 6, 2018 | A | 31 | $2.8299 | A | 11,123 | D | |
| Common Shares | holding | — | — | — | 11,026 | 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 | $19.00 | holding | — | — | — | Jul 25, 2013 | Jul 25, 2018 | Common | 5,000 | 5,000 | D |
| Stock Options | $11.50 | holding | — | — | — | Jul 11, 2014 | Jul 11, 2019 | Common | 10,000 | 15,000 | D |
| Stock Options | $5.00 | holding | — | — | — | Jul 17, 2015 | Jul 17, 2020 | Common | 7,500 | 22,500 | D |
| Stock Options | $2.89 | holding | — | — | — | Dec 14, 2017 | Dec 14, 2022 | Common | 50,000 | 72,500 | 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.