Initial Statement of Beneficial Ownership (3)
December 22 2016 - 5:11PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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1. Name and Address of Reporting Person
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Agnes Robert Dale
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2. Date of Event Requiring Statement (MM/DD/YYYY)
12/22/2016
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3. Issuer Name
and
Ticker or Trading Symbol
MITEL NETWORKS CORP [MITL]
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(Last)
(First)
(Middle)
350 LEGGET DRIVE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
See Remarks /
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(Street)
OTTAWA, A6 K2K 2W7
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Shares
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4479
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Options (Common Shares)
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(1)
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3/5/2022
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Common Shares
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32000
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$9.70
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D
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Options (Common Shares)
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(2)
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8/14/2021
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Common Shares
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50000
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$9.96
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D
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Restricted Stock Units
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(3)
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(3)
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Common Shares
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30000
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(3)
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D
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Restricted Stock Units
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(4)
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(4)
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Common Shares
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22650
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(4)
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D
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Explanation of Responses:
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(
1)
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32,000 stock options to purchase common shares ("Common Shares") of Mitel Networks Corporation (the "Company") were granted to Mr. Agnes on March 5, 2015. 2,000 options vested on June 5, 2015 and are scheduled to vest in equal installments every three months thereafter until March 5, 2019.
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(
2)
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50,000 stock options to purchase Common Shares of the Company were granted to Mr. Agnes on August 14, 2014. 3,125 options vested on November 14, 2014 and are scheduled to vest in equal installments every three months thereafter until August 14, 2018.
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(
3)
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Represents 30,000 Common Shares underlying 30,000 Restricted Stock Units ("RSUs") granted to Mr. Agnes on March 4, 2016. These RSUs will vest as follows: (i) 7,500 of the RSUs will vest on March 4, 2017; (ii) 7,500 of the RSUs will vest on March 4, 2018; (iii) 7,500 of the RSUs will vest on March 4, 2019; and (iv) 7,500 of the RSUs will vest on March 4, 2020.
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(
4)
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Represents 22,650 Common Shares underlying 22,650 RSUs granted to Mr. Agnes on March 5, 2015. These RSUs will vest as follows: (i) 7,500 of the RSUs will vest on March 5, 2017; (ii) 7,500 of the RSUs will vest on March 5, 2018; and (iii) 7,500 of the RSUs will vest on March 5, 2019.
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Remarks:
Mr. Agnes' title is Executive Vice President, Mitel Enterprise Division.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Agnes Robert Dale
350 LEGGET DRIVE
OTTAWA, A6 K2K 2W7
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See Remarks
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Signatures
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/s/ Robert D. Agnes
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12/22/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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