Amended Statement of Changes in Beneficial Ownership (4/a)
August 17 2021 - 7:23PM
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
*
Holt Stephen Patrick |
2. Issuer Name and Ticker or Trading Symbol
MICROVISION, INC.
[
MVIS
]
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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) CFO |
(Last)
(First)
(Middle)
6244 185TH AVE NE, SUITE 100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/16/2021 |
(Street)
REDMOND, WA 98052
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
3/18/2021 |
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 (1) | 3/16/2021 | | M | | 40000 | A | $2.20 | 153917 | D | |
Common Stock (1) | 3/16/2021 | | S | | 40000 | D | $17.2406 (2) | 113917 | 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 |
Non-qualified Stock Option | $2.20 (3) | 3/16/2021 | | M | | | 40000 | 5/7/2014 | 5/7/2023 | Common Stock | 40000 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | This amended report supersedes the Form 4 filed by the reporting person on March 18, 2021, which inadvertently failed to report the shares of common stock acquired upon exercise of the option and the subsequent open market sale of such shares. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.20 to $17.2702. The reporting person undertakes to provide to the SEC, upon request, full information regarding the number of shares sold at each separate price within this reported range. |
(3) | The Form 4 filed by the reporting person on March 18, 2021 incorrectly reported an exercise price of $17.2406. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Holt Stephen Patrick 6244 185TH AVE NE, SUITE 100 REDMOND, WA 98052 |
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| CFO |
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Signatures
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Stephen P. Holt | | 8/17/2021 |
**Signature of Reporting Person | Date |
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