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 | ||||
Stock Options | (2) | (2) | Common Stock | 100,004 (2) | $ (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ESPLIN GORDON C/O AMEDICA CORPORATION 1885 WEST 2100 SOUTH SALT LAKE CITY, UT 84119 |
Vice President, Finance |
/s/ Gordon Esplin | 08/18/2014 | |
**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) | Consists of 115,789 restricted stock units, each of which represents a contingent right to receive one share of Issuer's common stock. The restricted stock units vest on the earlier of a termination of employment without cause, resignation for any reason, change in control or the expiration of the amended lock up agreement imposed on the Reporting Person. |
(2) | Includes options to purchase 100,000 shares of common stock at an exercise price of $2.95, expiring August 13, 2024, vesting over a three year period at 16.67% on every 6 months anniversary of the grant date as long as the Reporting Person is employed by the Company on each vesting date and vesting shall be accelerated as per the terms of the Retention Agreement; and options to purchase four (4) shares of common stock at an exercise price of $25.77, exercisable at any time and expiring March 15, 2022. |