Initial Statement of Beneficial Ownership (3)

Date : 03/14/2019 @ 6:43PM
Source : Edgar (US Regulatory)
Stock : Sonic Foundry, Inc. (SOFO)
Quote : 1.05  0.01 (0.96%) @ 9:00PM

Initial Statement of Beneficial Ownership (3)

FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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
                      

1. Name and Address of Reporting Person *

Norregaard Michael

2. Date of Event Requiring Statement (MM/DD/YYYY)
3/4/2019 

3. Issuer Name and Ticker or Trading Symbol

SONIC FOUNDRY INC [SOFO]

(Last)        (First)        (Middle)

222 WEST WASHINGTON AVE

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            _____ 10% Owner
___ X ___ Officer (give title below)          _____ Other (specify below)
Chief Operating Officer /

(Street)

MADISON, WI 53703       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock   5000   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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)
Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Common Stock Option   4/15/2013   4/15/2023   Common Stock   5000.0   $6.74   D    
Employee Common Stock Option     (1) 11/10/2024   Common Stock   2500.0   $9.36   D    
Employee Common Stock Option     (2) 11/10/2025   Common Stock   2500.0   $7.33   D    
Employee Common Stock Option     (3) 12/27/2026   Common Stock   2500.0   $4.75   D    
Employee Common Stock Option     (4) 1/17/2028   Common Stock   11250.0   $2.49   D    
Employee Common Stock Option     (5) 12/24/2018   Common Stock   11250.0   $0.66   D    

Explanation of Responses:
(1)  (1) 833 exercisable 11/10/2015 and 11/10/2016, 834 exercisable 11/10/2017
(2)  (2) 833 exercisable 11/10/2016 and 11/10/2017, 834 exercisable 11/10/2018
(3)  (3) 833 exercisable 12/27/2017 and 12/27/2018, 834 exercisable 12/27/2019
(4)  (4) 3,750 exercisable at 1/17/2019, 1/17/2020 and 1/17/2021
(5)  (5) 3,750 exercisable at 12/24/2019, 12/24/2020 and 12/24/2021

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Norregaard Michael
222 WEST WASHINGTON AVE
MADISON, WI 53703


Chief Operating Officer

Signatures
Michael Norregaard 3/14/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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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