SEC Form 5/A · accession 0001607062-17-000252
MOBETIZE, CORP. · MPAY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 5/A). It replaces an earlier filing for the same period.
Reporting owner
Donald Duberstein
Director
Period of report
Mar 31, 2017
Accepted (ET)
Aug 2, 2017 · 7:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001546679
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock OptionsF2,F1 | $60.00 | Oct 1, 2015 | A | 5 | A | Apr 1, 2017 | Sep 30, 2020 | Common Stock | 5 | 690 | D |
| Common Stock WarrantsF3 | $100.00 | Jun 25, 2014 | A | 1,300 | A | Jun 25, 2014 | Jun 24, 2018 | Common Stock | 650 | 650 | D |
| Common Stock WarrantsF4 | $125.00 | Dec 11, 2014 | A | 784 | A | Dec 11, 2014 | Dec 10, 2018 | Common Stock | 392 | 1,042 | D |
| Common Stock WarrantsF5 | $100.00 | Aug 31, 2015 | A | 2,500 | A | Aug 31, 2015 | Sep 1, 2018 | Common Stock | 1,250 | 2,292 | D |
Explanation of responses
- F1On July 11, 2017, the Issuer effected a 1/100 consolidation of its common stock. The numbers of common stock options and common stock warrants disclosed herein all reflect said consolidation.
- F2Donald Duberstein was granted two 2,400 stock options on October 1, 2015, pursuant to the Issuer's 2015 Stock Option Plan in connection with his service as a Director. The stock options are exercisable at $60.00 per share subject to a vesting schedule of 600 on grant while the remainder vest on a monthly basis at 5 options per month until all are vested, or otherwise terminated.
- F3On June 25, 2014, the Issuer closed a private placement of investment units. Each investment unit consisted of shares of the Issuer's common stock and one half-warrant. The warrants are exercisable at $60.00 per share and valid for four years from issue. Mr. Duberstein purchased 800 investment units and was issued 500 financing half-warrants in connection with the private placement.
- F4On December 11, 2014, the Issuer closed a private placement of investment units. Each investment unit consisted of one share of the Issuer's common stock and one half-warrant. The warrants are exercisable at $125 per share and valid for four years from issue. Mr. Duberstein purchased 334 investment units and was issued 450 financing half-warrants in connection with the private placement.
- F5On September 1, 2015, the Issuer closed a private placement of investment units. Each investment unit consisted of one share of the Issuer's common stock and one half-warrant. The warrants are exercisable at $100 per share and valid for three years from the date of issue. Mr. Duberstein purchased 2,500 investment units in connection with the private placement.