Amended Annual Statement of Changes in Beneficial Ownership (5/a)
August 02 2017 - 7:28PM
Edgar (US Regulatory)
FORM 5
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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Form 3 Holdings Reported
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X
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Form 4 Transactions Reported
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0362
Estimated average burden
hours per response...
1.0
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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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DUBERSTEIN DONALD
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2. Issuer Name
and
Ticker or Trading Symbol
MOBETIZE, CORP. [MPAY]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
49 BRISTOL DRIVE
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3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
3/31/2017
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(Street)
BOYNTON, FL 33436
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
4/14/2017
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
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7. Nature of Indirect Beneficial Ownership
(Instr. 4)
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year
(Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
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11. Nature of Indirect Beneficial Ownership
(Instr. 4)
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(A)
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(D)
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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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Common Stock Options
(2)
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$60.00
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10/1/2015
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A4
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5
(1)
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4/1/2017
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9/30/2020
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Common Stock
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5
(1)
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(2)
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690
(1)
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D
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Common Stock Warrants
(3)
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$100.00
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6/25/2014
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A4
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1300
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6/25/2014
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6/24/2018
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Common Stock
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650
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$75.00
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650
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D
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Common Stock Warrants
(4)
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$125.00
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12/11/2014
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A4
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784
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12/11/2014
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12/10/2018
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Common Stock
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392
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$100.00
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1042
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D
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Common Stock Warrants
(5)
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$100.00
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8/31/2015
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A4
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2500
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8/31/2015
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9/1/2018
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Common Stock
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1250
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$25.00
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2292
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D
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Explanation of Responses:
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(1)
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On July 11, 2017, the Issuer effected a 1/100 consolidation of its common stock. The numbers of common stock options and common stock warrants disclosed herein all reflect said consolidation.
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(2)
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Donald Duberstein was granted two 2,400 stock options on October 1, 2015, pursuant to the Issuer's 2015 Stock Option Plan in connection with his service as a Director. The stock options are exercisable at $60.00 per share subject to a vesting schedule of 600 on grant while the remainder vest on a monthly basis at 5 options per month until all are vested, or otherwise terminated.
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(3)
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On June 25, 2014, the Issuer closed a private placement of investment units. Each investment unit consisted of shares of the Issuer's common stock and one half-warrant. The warrants are exercisable at $60.00 per share and valid for four years from issue. Mr. Duberstein purchased 800 investment units and was issued 500 financing half-warrants in connection with the private placement.
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(4)
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On December 11, 2014, the Issuer closed a private placement of investment units. Each investment unit consisted of one share of the Issuer's common stock and one half-warrant. The warrants are exercisable at $125 per share and valid for four years from issue. Mr. Duberstein purchased 334 investment units and was issued 450 financing half-warrants in connection with the private placement.
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(5)
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On September 1, 2015, the Issuer closed a private placement of investment units. Each investment unit consisted of one share of the Issuer's common stock and one half-warrant. The warrants are exercisable at $100 per share and valid for three years from the date of issue. Mr. Duberstein purchased 2,500 investment units in connection with the private placement.
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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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DUBERSTEIN DONALD
49 BRISTOL DRIVE
BOYNTON, FL 33436
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X
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Signatures
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/s/ Donald Duberstein
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7/28/2017
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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 4(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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