- Initial Statement of Beneficial Ownership (3)
May 07 2009 - 4:41PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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3235-0104
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February 28, 2011
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Morgan Douglas J
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2. Date of Event Requiring Statement (MM/DD/YYYY)
4/30/2009
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3. Issuer Name
and
Ticker or Trading Symbol
SCM MICROSYSTEMS INC [SCMM]
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(Last)
(First)
(Middle)
7600 S. RAINBOW BLVD., #1129
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4. 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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(Street)
LAS VEGAS, NV 89139
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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266208
(1)
(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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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Warrants to purchase Common Stock
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4/30/2012
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4/30/2014
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Common Stock
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133104
(1)
(3)
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$3.00
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D
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Explanation of Responses:
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(
1)
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The securities reported herein were acquired pursuant to a merger between Hirsch Electronics Corporation and Deer Acquisition, Inc., a wholly-owned subsidiary of SCM Microsystems, Inc., in which each share of Hirsch Electronics Corporation was exchanged for $3.00 cash, two shares of SCM common stock and one warrant to purchase one share of SCM common stock at an exercise price of $3.00 with a five year term, exercisable for two years following the third anniversary of the effective time of the merger. The merger closed on April 30, 2009.
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(
2)
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Includes 50,000 shares held by Performance Strategies Inc. Profit Sharing Plan & Trust, of which the reporting person is Trustee.
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(
3)
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Includes 25,000 warrants held by Performance Strategies Inc. Profit Sharing Plan & Trust, of which the reporting person is Trustee.
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Remarks:
Exhibit 24-Power of Attorney.
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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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Morgan Douglas J
7600 S. RAINBOW BLVD.
#1129
LAS VEGAS, NV 89139
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X
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Signatures
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/s/ Douglas J. Morgan
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5/4/2009
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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 5(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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