SEC Form 4 · accession 0001645383-16-000018
MoSys, Inc. · MOSY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Riordan
Officer — Chief Operating Officer
Period of report
Aug 23, 2016
Accepted (ET)
Aug 26, 2016 · 9:50 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000890394
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to purchase common stockF2,F1 | $6.06 | Aug 23, 2016 | D | 400,000 | D | — | May 10, 2017 | Common Stock | 400,000 | 0 | D |
| Option to purchase common stockF2,F3 | $2.99 | Aug 23, 2016 | D | 400,000 | D | — | Dec 21, 2017 | Common stock | 400,000 | 0 | D |
| Option to purchase common stockF2,F4 | $0.72 | Aug 23, 2016 | D | 457,142 | A | — | Aug 23, 2026 | Common Stock | 457,142 | 457,142 | D |
Explanation of responses
- F1The canceled option provided for vesting as follows: 25% of the shares subject to the option on May 9, 2012 and as to 2.083% of the shares subject to the option on the 23rd day of each calendar month thereafter
- F2On August 23, 2016, the Issuer canceled, pursuant to an option exchange program, options granted to the Reporting Person on 5/10/11 and 12/21/11. In exchange for these options to cumulatively purchase 800,000 shares, the Reporting Person received a new option to purchase 457,142 shares at a lower exercise price.
- F3The canceled option provided for vesting as follows: 25% of the shares subject to the option on December 21, 2012 and as to 2.083% of the shares subject to the option on the 21st day of each calendar month thereafter
- F4Option granted to replace cancelled options, pursuant to an option exchange program; vests ratably over 36 months.