Statement of Changes in Beneficial Ownership (4)
September 09 2019 - 6:28PM
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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0.5
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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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Karp David |
2. Issuer Name and Ticker or Trading Symbol
COUNTERPATH CORP
[
CPAH
]
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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 Financial Officer
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(Last)
(First)
(Middle)
3780 BAYRIDGE AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/4/2019
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(Street)
VANCOUVER, A1 V7V 3J2
(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 Shares
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30973.1164
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D
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Common Shares
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9/4/2019
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A
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134.4809 (2)
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A
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$1.4872 (3)
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31107.5973
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D
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Common Shares
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9/4/2019
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A
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63.9467 (2)
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A
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$1.5638 (3)
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31171.544
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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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Stock Options
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$13.10
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6/12/2014 (1)
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12/12/2018
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Common shares
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20000
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20000
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D
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Stock Options
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$2.40
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7/14/2016 (1)
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7/14/2021
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Common
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20000
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40000
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D
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Stock Options
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$2.89
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12/14/2017 (1)
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12/14/2022
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Common
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50000
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90000
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D
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Deferred Share Units
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(4)
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12/14/2009
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(4)
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Common
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8065.5 (4)
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8064.5
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D
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Deferred Share Units
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(4)
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6/18/2010
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(4)
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Common
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5000 (4)
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13064.5
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D
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Deferred Share Units
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(4)
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3/10/2011
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(4)
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Common
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2202.6 (4)
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15267.1
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D
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Deferred Share Units
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(4)
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7/25/2011
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(4)
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Common
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5405.4 (4)
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20672.5
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D
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Deferred Share Units
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(4)
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7/19/2012
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(4)
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Common
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1710.8 (4)
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22383.3
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D
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Deferred Share Units
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(4)
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7/25/2013 (5)
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(4)
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Common
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2513.9 (4)
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24897.2
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D
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Deferred Share Units
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(4)
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7/11/2014 (5)
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(4)
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Common
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6048.4 (4)
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30945.6
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D
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Deferred Share Units
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(4)
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7/17/2015 (5)
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(4)
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Common
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7970.4 (4)
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38916.0
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D
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Deferred Share Units
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(4)
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7/14/2016
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(4)
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Common
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8076.0
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46992.0
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D
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Deferred Share Units
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(4)
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7/14/2017
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(4)
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Common
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13376
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60368
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D
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Deferred Share Units
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(4)
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7/26/2018
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(4)
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Common
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22830.0
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83198.0
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D
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Deferred Share Units
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(4)
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12/14/2018
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(4)
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Common
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40000
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123198
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D
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Explanation of Responses:
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(1)
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Options vest as to 12.5% after 6 months and 1/42 per month thereafter as per company plan.
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(2)
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These shares were purchased through an Employee Share Purchase Plan.
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(3)
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Canadian dollars.
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(4)
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Each deferred share unit is convertible into one common share of CounterPath Corporation at no additional cost. There is no expiry date. Deferred share units vest as to one-third of the number granted on each of the first, second and third anniversaries of the grant date.
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(5)
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The deferred share units vest one third over three years beginning on the first anniversary of the grant date.
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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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Karp David 3780 BAYRIDGE AVENUE VANCOUVER, A1 V7V 3J2
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Chief Financial Officer
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Signatures
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/s/ David Karp
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9/9/2019
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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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