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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants (right to buy) | $ 5.4 | 10/07/2019 | H | 1,569 | 02/26/2017 | 02/26/2022 | Common Stock | 1,569 | (2) | 0 | D | ||||
Warrants (right to buy) | $ 0.8 | 10/07/2019 | P | 1,569 | 10/07/2019 | 02/26/2022 | Common Stock | 1,569 | (2) | 1,569 | D | ||||
Warrants (right to buy) | $ 0.8 | 10/07/2019 | M | 1,569 | 10/07/2019 | 02/26/2022 | Common Stock | 1,569 | $ 0 | 0 | D | ||||
Warrants (right to buy) | $ 5.4 | 10/07/2019 | H | 1,569 | 02/28/2018 | 02/28/2023 | Common Stock | 1,569 | (2) | 0 | D | ||||
Warrants (right to buy) | $ 0.8 | 10/07/2019 | P | 1,569 | 10/07/2019 | 02/28/2023 | Common Stock | 1,569 | (2) | 1,569 | D | ||||
Warrants (right to buy) | $ 0.8 | 10/07/2019 | M | 1,569 | 10/07/2019 | 02/28/2023 | Common Stock | 1,569 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gazdak Jonathan C/O SUMMIT WIRELESS TECHNOLOGIES, INC. 6840 VIA DEL ORO STE. 280 SAN JOSE, CA 95119 |
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/s/ Jonathan Gazdak | 10/09/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Represents the aggregate number of outstanding shares of common stock of the issuer received upon the reporting person's exercise of all common stock purchase warrants of the issuer (the "Warrant") reported in Table II above at $0.80 per share on October 7, 2019. |
(2) | Such transactions reported in Table II above reflect an amendment of a Warrant to reduce the exercise price of the Warrant from $5.40 per share to $0.80 per share. Such amendment is reported above as the cancellation of the original Warrant and the acquisition of a new Warrant. |