SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol Mecklermedia Corp [ MECK ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 09/18/2015 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 09/18/2015 | P | 26,074 | A | $0.25 | 2,002,560 | D | |||
Common Stock | 401,194 | I(1) | By Spouse | |||||||
Common Stock | 35,050 | I(1) | Herman Meckler Family Trust #1 | |||||||
Common Stock | 9,871 | I(1) | Herman Meckler Family Trust #2 | |||||||
Common Stock | 75,176 | I(1) | The Meckler Foundation |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 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: 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 | ||||||||
Employee Stock Option (right to buy) | $5.6 | (2) | 09/27/2020 | Common Stock | 42,858 | 42,858 | D | ||||||||
Employee Stock Option (right to buy) | $6.44 | (2) | 09/08/2021 | Common Stock | 21,429 | 21,429 | D | ||||||||
Employee Stock Option (right to buy) | $4.55 | (2) | 11/14/2021 | Common Stock | 142,858 | 142,858 | D | ||||||||
Employee Stock Option (right to buy) | $3.71 | (2) | 12/12/2021 | Common Stock | 21,429 | 21,429 | D | ||||||||
Employee Stock Option (right to buy) | $2.29 | (2) | 12/04/2022 | Common Stock | 10,000 | 10,000 | D | ||||||||
Employee Stock Option (right to buy) | $2.97 | (2) | 12/16/2023 | Common Stock | 20,000 | 20,000 | D | ||||||||
Employee Stock Option (right to buy) | $0.59 | (3) | 12/10/2024 | Common Stock | 200,000 | 200,000 | D |
Explanation of Responses: |
1. Mr. Meckler indirectly owns 521,291 shares: 37,000 shares donated by Mr. Meckler to the Meckler Foundation, a non-profit charitable foundation founded by Mr. Meckler and for which he acts as a trustee, 38,176 shares purchased by the Meckler Foundation, 401,194 shares purchased by Mr. Meckler's wife and 44,921 shares held in trust for the benefit of Mr. Meckler's mother. Mr. Meckler exercises shared voting and investment control over all of these shares. |
2. Option is 100% vested. |
3. Option vests 33.33% ratably over a three year period on 12/11/2015, 12/11/2016 and 12/11/2017. |
/s/ David P. Creekman, Attorney-in-Fact | 09/22/2015 | |
** 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 Number. |