Amended Statement of Changes in Beneficial Ownership (4/a)
October 15 2018 - 04:27PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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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ROBERTSON DAVE
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2. Issuer Name
and
Ticker or Trading Symbol
ZIX CORP
[
ZIXI
]
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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)
Vice President
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(Last)
(First)
(Middle)
2711 N. HASKELL AVENUE, SUITE 2200, LB 36
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/26/2018
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(Street)
DALLAS, TX 75204
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
2/28/2018
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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
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2/26/2018
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A
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40000
(1)
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A
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$0.00
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173405
(2)
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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. 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
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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 Following Reported Transaction(s) (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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Code
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V
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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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Explanation of Responses:
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(1)
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Grant under the Amended and Restated 2012 Incentive Plan (as amended, the "Plan") consists of 75% restricted stock that will vest pro-rata annually over 3 years and 25% restricted stock that will vest pro-rata up to 1/3 each year the Company achieves specific performance criteria in 2018-2020, subject to acceleration under conditions described in the Plan.
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(2)
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This Form 4/A amends the Form 4 filed by the Reporting Person on February 28, 2018. The amount of securities should have been reported as 173,405 shares of common stock directly beneficially owned by the Reporting Person. The incorrect report was due to a clerical rounding error from a Form 4 filed February 22, 2017 that was carried through subsequent Form 4 filings.
The February 22, 2017 Form 4 mistakenly underreported a single security. Column 4 in Table I should have reported 6,667 securities acquired, and Column 5 in Table I should have reported 192,424 amount of securities beneficially owned. In addition, Column 5 in Table II should have reported 6,667 derivative securities disposed of, Column 7 in Table II should have reported amount of shares as 6,667, and Column 9 Table II should have reported 13,335 derivative securities beneficially owned.
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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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ROBERTSON DAVE
2711 N. HASKELL AVENUE
SUITE 2200, LB 36
DALLAS, TX 75204
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Vice President
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Signatures
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/s/ Noah F. Webster, Attorney-in-Fact
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10/15/2018
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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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