SEC Form 4/A · accession 0001615774-18-012339
Akoustis Technologies, Inc. · AKTS
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
Arthur Geiss
Director
Period of report
Nov 2, 2018
Accepted (ET)
Nov 9, 2018 · 7:11 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001584754
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Nov 2, 2018 | A | 5,000 | $0.00 | A | 70,125 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1,F2 | $3.78 | Nov 2, 2018 | A | 10,000 | A | Nov 2, 2019 | Nov 1, 2025 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1The stock awards reported in Table I and the Stock Options reported in Table II were issued as compensation to AEG Consulting, a firm owned and operated by the reporting person, for consulting services.
- F2The reporting person's original Form 4 for this transaction, filed on November 2, 2018 (the "Original Form 4"), is being amended to (i) correct the amount of securities beneficially owned as reported in Column 5 of Table I, which was inadvertently reported as 66,375 in the Original Form 4, and (ii) correct the exercise price of the Stock Options as reported in Column 2 of Table II, which was inadvertently reported as $4.07 in the Original Form 4.