Amended Statement of Changes in Beneficial Ownership (4/a)
05 Abril 2016 - 6:02PM
Edgar (US Regulatory)
FORM 4
[
X
]
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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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
Borus Todd A.
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2. Issuer Name
and
Ticker or Trading Symbol
AUTHENTIDATE HOLDING CORP
[
ADAT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
_____ Officer (give title below)
__
X
__ Other (specify below)
Former Director
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(Last)
(First)
(Middle)
AUTHENTIDATE HOLDING CORP., 300 CONNELL DRIVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
1/15/2016
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(Street)
BERKELEY HEIGHTS, NJ 07922
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
1/20/2016
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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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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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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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Warrant (right to buy)
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$8.55
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1/15/2016
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D
(1)
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2777
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12/20/2013
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6/20/2018
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Common Stock
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2777
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$0.00
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0
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D
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Warrant (right to buy)
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$8.55
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1/15/2016
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A
(1)
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2777
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1/15/2016
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6/20/2021
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Common Stock
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2777
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$0.00
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2777
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D
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Warrant (right to buy)
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$7.9875
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1/15/2016
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D
(1)
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1220
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3/3/2015
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9/3/2019
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Common Stock
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1220
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$0.00
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0
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D
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Warrant (right to buy)
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$7.9875
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1/15/2016
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A
(1)
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1220
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1/15/2016
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9/3/2022
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Common Stock
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1220
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$0.00
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1220
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D
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Explanation of Responses:
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(
1)
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The reported transactions involve an amendment of the warrants to amend the expiration date, resulting in the deemed cancellation of the old warrants and the simultaneous issuance of new warrants for purposes of Section 16. The amendment to the warrants was in consideration of the Reporting Person entering into a lockup agreement with the issuer. This Form 4/A is being filed to correct the transaction codes reported in column 4 of Table II of the original Form 4 filed on January 20, 2016 which were inadvertently reported as "J". The correct transaction codes for the covered transactions are reflected in column 4 of Table II of this Form 4/A.
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Remarks:
Except for the change to the transaction codes described in note 1, above, there are no other changes to the original Form 4; however, the number of shares of common stock and the exercise prices of the derivative securities reported on this Form 4/A have been adjusted to reflect the one-for-nine reverse stock split implemented by the issuer on January 22, 2016.
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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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Borus Todd A.
AUTHENTIDATE HOLDING CORP.
300 CONNELL DRIVE
BERKELEY HEIGHTS, NJ 07922
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Former Director
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Signatures
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/s/ Todd A. Borus
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4/5/2016
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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 4(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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