Amended Statement of Changes in Beneficial Ownership (4/a)
17 Maio 2023 - 8:47PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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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SHERMAN STEVEN |
2. Issuer Name and Ticker or Trading Symbol
EKSO BIONICS HOLDINGS, INC.
[
EKSO
]
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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) Executive Chair |
(Last)
(First)
(Middle)
C/O EKSO BIONICS HOLDINGS, INC., 101 GLACIER POINT, SUITE A |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/8/2022 |
(Street)
SAN RAFAEL, CA 94901 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
3/10/2022 |
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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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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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 | 3/8/2022 | | M | | 15599 | A | $0 | 55564 (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. 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) | 3/8/2022 | | M | | | 15599 | (3) | (3) | Common Stock | 15599 | $0 | 171591 | D | |
Explanation of Responses: |
(1) | On March 10, 2022, the Reporting Person filed a Form 4 that did not reflect the decrease in the Reporting Person's holdings caused by the Issuer's 1-for-15 reverse stock split effected on March 24, 2020. This Amendment corrects such inaccuracies. |
(2) | Shares represent restricted stock units ("RSUs") granted in accordance with the terms of an Executive Employment Agreement entered into between the Reporting Person and the Company on January 21, 2022 (the "Effective Date"). The Issuer's Compensation Committee formally authorized the grant of such RSUs and the related RSU Agreement on March 8, 2022. |
(3) | The first installment of the RSUs vested on February 21, 2022 and were delivered to the Reporting Person immediately in connection with the execution of the RSU Agreement. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SHERMAN STEVEN C/O EKSO BIONICS HOLDINGS, INC. 101 GLACIER POINT, SUITE A SAN RAFAEL, CA 94901 |
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| Executive Chair |
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Signatures
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/s/ Jerome Wong, as Attorney-in-Fact | | 5/17/2023 |
**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 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). |
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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