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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (1) | (2) | (2) | Ordinary Shares | 25,000 | 25,000 | D | ||||||||
Restricted Stock Units | (1) | (3) | (3) | Ordinary Shares | 4,933 | 4,933 | D | ||||||||
Ordinary Share Option (Right to Buy) | $ 11.62 | (4) | 10/31/2025 | Ordinary Shares | 4,303 | 4,303 | D | ||||||||
Restricted Stock Units | (1) | 10/31/2016 | M | 1,291 | (5) | (5) | Ordinary Shares | 1,291 | $ 0 | 1,291 | D | ||||
Restricted Stock Units | (1) | (6) | (6) | Ordinary Shares | 15,226 | 15,226 | D | ||||||||
Ordinary Share Option (Right to Buy) | $ 5.73 | 10/31/2016 | A | 8,726 | (7) | 10/31/2026 | Ordinary Shares | 8,726 | $ 0 | 8,726 | D | ||||
Restricted Stock Units | (1) | 10/31/2016 | A | 5,236 | (8) | (8) | Ordinary Shares | 5,236 | $ 0 | 5,236 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
von Prondzynski Heino C/O QUOTIENT LIMITED ELIZABETH HOUSE, 9 CASTLE STREET ST HELIER, Y9 JE2 3RT |
X |
/s/ Heino von Prondzynski | 11/02/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | Restricted Stock Units convert into ordinary shares on a one-for-one basis. |
(2) | On September 15, 2014, the reporting person was granted 50,000 restricted stock units, of which 25,000 restricted stock units have vested and been exercised. The remaining 25,000 restricted stock units will vest in two equal annual installments beginning on September 4, 2017. |
(3) | On September 4, 2015, the reporting person was granted 9,867 restricted stock units, of which 4,934 restricted stock units have vested and been exercised. The remaining 4,933 restricted stock units will vest on September 4, 2017. |
(4) | 1,434 options vested on October 31, 2016 and remain exercisable, 1,434 options will vest on October 31, 2017, 1,435 options will vest on October 31, 2018. |
(5) | On October 31, 2015, the reporting person was granted 2,582 restricted stock units, of which 1,291 restricted stock units have vested and been exercised. The remaining 1,291 restricted stock units will vest on October 31, 2017. |
(6) | On September 4, 2016, the reporting person was granted 15,226 restricted stock units, vesting in two equal installments on September 4, 2017 and September 4, 2018. |
(7) | The options vest and become exercisable in three equal annual installments beginning October 31, 2017. |
(8) | On October 31, 2016, the reporting person was granted 5,236 restricted stock units, vesting in two equal installments on October 31, 2017 and October 31, 2018. |