Statement of Changes in Beneficial Ownership (4)
February 12 2020 - 5:26PM
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
*
Wan Tim M |
2. Issuer Name and Ticker or Trading Symbol
REALNETWORKS INC
[
RNWK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
1501 1ST AVENUE SOUTH, STE. 600 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/10/2020 |
(Street)
SEATTLE, WA 98134
(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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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 |
Stock Option (right to buy) | $1.33 | 2/10/2020 | | A | | 13750 | | 11/5/2020 (1) | 2/10/2027 | Common Stock | 13750 | $0.00 | 13750 | D | |
Restricted Stock Units | $0.00 (2) | 2/10/2020 | | A | | 31015 | | 11/5/2020 (3) | 11/5/2020 | Common Stock | 31015 | $0.00 | 31015 | D | |
Explanation of Responses: |
(1) | The option will vest and become exercisable in 11 substantially equal monthly installments until the option becomes fully vested on November 5, 2020, provided that the reporting individual continues to serve as a director of RealNetworks through such date. |
(2) | Each restricted stock unit represents a contingent right to receive one share of RealNetworks common stock. |
(3) | The shares subject to the restricted stock grant will vest and become exercisable in 11 substantially equal monthly installments until the grant becomes fully vested on November 5, 2020, provided that the reporting individual continues to serve as a director of RealNetworks through such date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Wan Tim M 1501 1ST AVENUE SOUTH, STE. 600 SEATTLE, WA 98134 | X |
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Signatures
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/s/ Michael Parham, attorney-in-fact | | 2/12/2020 |
**Signature of Reporting Person | Date |
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