Statement of Changes in Beneficial Ownership (4)
August 04 2020 - 6:57PM
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
*
Abrams Robin Elizabeth |
2. Issuer Name and Ticker or Trading Symbol
SIGA TECHNOLOGIES INC
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SIGA
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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) General Counsel and CAO |
(Last)
(First)
(Middle)
C/O SIGA TECHNOLOGIES, INC.,, 31 EAST 62ND STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/31/2020 |
(Street)
NEW YORK, NY 10065
(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, Par Value $.0001 Per Share | 7/31/2020 | | M | | 26667 | A | $0 | 48559 | D | |
Common Stock, Par Value $.0001 Per Share | 7/31/2020 | | F | | 14138 (1) | D | $6.42 | 34421 | 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 |
Restricted Stock Units | (2) | 7/31/2020 | | M | | | 26667 | (2) | (2) | Common Stock, par value $.0001 per share | 26667 | $0 | 26667 | D | |
Explanation of Responses: |
(1) | SIGA Technologies, Inc. (the "Issuer") has certain tax withholding obligations associated with the vesting of restricted stock units ("RSUs") and the consequent issuance of Common Stock of the Issuer. This Form 4 reports the surrender to the Issuer by the Reporting Person of 14,138 shares of Common Stock -- granted in the form of RSUs on July 31, 2019 -- in order to satisfy those withholding tax obligations. |
(2) | Represents vesting of certain RSUs granted on July 31, 2019 and the consequent issuance of Common Stock of the Issuer to the Reporting Person. The RSUs vest over two years, with the first 1/2 of such RSUs vesting on July 31, 2020 and the remaining 1/2 of such RSUs vesting on July 31, 2021. The shares of Common Stock reported in this Form 4 were issued in respect of the RSUs that vested on July 31, 2020. Each RSU converts into one share of Common Stock of the Issuer on a one for one basis. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Abrams Robin Elizabeth C/O SIGA TECHNOLOGIES, INC., 31 EAST 62ND STREET NEW YORK, NY 10065 |
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| General Counsel and CAO |
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Signatures
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/s/ Robin E. Abrams | | 8/4/2020 |
**Signature of Reporting Person | Date |
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