Statement of Changes in Beneficial Ownership (4)
April 02 2020 - 5:04PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Shaw William R |
2. Issuer Name and Ticker or Trading Symbol
EKSO BIONICS HOLDINGS, INC.
[
EKSO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Commercial Officer |
(Last)
(First)
(Middle)
C/O EKSO BIONICS HOLDINGS, INC., 1414 HARBOUR WAY SOUTH, SUITE 1201 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/1/2020 |
(Street)
RICHMOND, CA 94804
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 4/1/2020 (1) | | A | | 13000 | A | $0.00 (2) | 13000 (3) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The grant of the RSUs was approved by the compensation committee of the company's board of directors on November 6, 2019 contingent upon (a) approval by the company's stockholders at the next occurring special or annual meeting of the stockholders (to increase the number of shares reserved for issuance under the company's Amended and Restated 2014 Equity Incentive Plan to accommodate the grants of the RSUs), which approval was obtained at a special meeting of the stockholders on March 12, 2020, and (b) the company filing a registration statement on Form S-8 with the Securities and Exchange Commission (the "SEC") to register the offer and sale of the shares underlying the RSUs, which registration statement was filed with the SEC on April 1, 2020. |
(2) | The grant consists of restricted stock units ("RSUs") that vest as to one quarter (1/4th) of the total number listed above on November 15, 2020, and as to an additional one quarter (1/4th) of the total number of RSUs listed above on November 15 of each following year. |
(3) | After taking into account the 1-for-15 reverse stock split effective March 24, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Shaw William R C/O EKSO BIONICS HOLDINGS, INC. 1414 HARBOUR WAY SOUTH, SUITE 1201 RICHMOND, CA 94804 |
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| Chief Commercial Officer |
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Signatures
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/s/ William R. Shaw | | 4/2/2020 |
**Signature of Reporting Person | Date |
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