UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy) | (2) | 06/09/2023 | Common Stock | 3,327 | $ 4.5 | D | |
Employee Stock Option (right to buy) | (2) | 06/09/2023 | Common Stock | 1,111 | $ 4.5 | D | |
Employee Stock Option (right to buy) | (2) | 06/29/2025 | Common Stock | 666 | $ 15 | D | |
Employee Stock Option (right to buy) | (3) | 12/01/2029 | Common Stock | 5,000 | $ 24.8 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Liu Hao Peter C/O SONIM TECHNOLOGIES INC. 6500 RIVER PLACE BLVD., BLDG. 7, S#2 AUSTIN, TX 78730 |
Chief Executive Officer |
/s/ Robert Tirva, as power-of-attorney | 04/25/2022 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 6,112 restricted stock units that are scheduled to vest in 3 equal annual installments beginning June 9, 2022. Each restricted stock unit represents the right to receive one share of the Issuer's common stock. |
(2) | This stock option is fully vested and exercisable. |
(3) | This stock option is fully vested and exercisable with respect to 2,916 shares of the Issuer's common stock. The remaining 2,084 shares of the Issuer's common stock are scheduled to vest in monthly increments from May 1, 2022 to December 1, 2023. |
Remarks: Exhibit List: Exhibit 24 - Power of Attorney |