Statement of Changes in Beneficial Ownership (4)
January 07 2020 - 4:10PM
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
*
Baker Paul Christopher |
2. Issuer Name and Ticker or Trading Symbol
KOPIN CORP
[
KOPN
]
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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) Strategic Business Officer |
(Last)
(First)
(Middle)
C/O KOPIN CORPORATION, 125 NORTH DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/25/2019 |
(Street)
WESTBOROUGH, MA 01581
(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 | 6/25/2019 | | F(1) | | 5000 | D | $0 | 147853 (2) | 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) | Restricted stock granted on February 9, 2018, which was forfeited for not achieving certain milestones. |
(2) | Reflects the amount of Common Stock beneficially owned by the reporting person immediately following the transaction reported by this Form 4. As of the date of this Form 4, the reporting person beneficially owned 217,853 shares of Common Stock, which amount reflects the amount of Common Stock reported to be beneficially held by the reporting person in the most recent Form 4 filed on December 23, 2019 minus the amount of Common Stock forfeited as reported in this Form 4. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Baker Paul Christopher C/O KOPIN CORPORATION 125 NORTH DRIVE WESTBOROUGH, MA 01581 |
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| Strategic Business Officer |
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Signatures
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/s/ John J. Concannon, as Attorney-in-fact | | 1/7/2020 |
**Signature of Reporting Person | Date |
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