Initial Statement of Beneficial Ownership (3)
April 25 2022 - 4:11PM
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
OMB Number:
3235-0104
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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
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Liu Hao Peter |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/13/2022
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3. Issuer Name and Ticker or Trading Symbol
SONIM TECHNOLOGIES INC [SONM]
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(Last)
(First)
(Middle)
C/O SONIM TECHNOLOGIES INC., 6500 RIVER PLACE BLVD., BLDG. 7, S#2 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Executive Officer / |
(Street)
AUSTIN, TX 78730
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 107486 (1) | 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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (right to buy) | (2) | 6/9/2023 | Common Stock | 3327 | $4.50 | D | |
Employee Stock Option (right to buy) | (2) | 6/9/2023 | Common Stock | 1111 | $4.50 | D | |
Employee Stock Option (right to buy) | (2) | 6/29/2025 | Common Stock | 666 | $15.00 | D | |
Employee Stock Option (right to buy) | (3) | 12/1/2029 | Common Stock | 5000 | $24.80 | D | |
Explanation of Responses: |
(1) | Includes 6,112 restricted stock units that are scheduled to vest in 3 equal annual installments beginning June 9, 2022. Each restricted stock unit represents the right to receive one share of the Issuer's common stock. |
(2) | This stock option is fully vested and exercisable. |
(3) | This stock option is fully vested and exercisable with respect to 2,916 shares of the Issuer's common stock. The remaining 2,084 shares of the Issuer's common stock are scheduled to vest in monthly increments from May 1, 2022 to December 1, 2023. |
Remarks: Exhibit List: Exhibit 24 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Liu Hao Peter C/O SONIM TECHNOLOGIES INC. 6500 RIVER PLACE BLVD., BLDG. 7, S#2 AUSTIN, TX 78730 |
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| Chief Executive Officer |
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Signatures
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/s/ Robert Tirva, as power-of-attorney | | 4/25/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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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