SEC Form 4/A · accession 0001209191-17-022357
OOMA INC · OOMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Spencer D. Jackson
Officer — VP, General Counsel & Sec.
Period of report
Feb 13, 2017
Accepted (ET)
Mar 22, 2017 · 5:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001327688
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 13, 2017 | A | 32,000 | $0.00 | A | 126,045 | D | |
| Common StockF2 | holding | — | — | — | 37,500 | I | By Millennium Trust Company, LLC, Custodian FBO Account Owner Spencer D Jackson Roth/IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $10.20 | Feb 13, 2017 | A | 8,000 | A | — | Feb 13, 2027 | Common Stock | 8,000 | 8,000 | D |
Explanation of responses
- F1Represent restricted stock units which will vest as follows: 1/8th of the total original number of restricted stock units shall vest on September 15, 2017 and 1/16th of the total original number of restricted stock units shall vest on the same day of every third month thereafter.
- F2Shares held by Millennium Trust Company, LLC, Custodian FBO Account Owner Spencer D Jackson Roth/IRA. Mr. Jackson holds voting and dispositive power with respect to the shares held of record by this entity.
- F31/8th of the shares subject to the option will vest and become exercisable on September 15, 2017 and 1/16th of the shares subject to the option shall vest and become exercisable on the same day of every third month thereafter.
Remarks
Amendment filed to correct the clerical error made to the grant date of the restricted stock units as previously reported from 2/15/2017 to 2/13/2017.