SEC Form 5
FORM 5 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL 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). | |||||||||||||||||
Form 3 Holdings Reported. | |||||||||||||||||
Form 4 Transactions Reported. |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol COPsync, Inc. [ COYN ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Statement for Issuer's Fiscal Year Ended (Month/Day/Year) 12/31/2015 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) 01/28/2016 | 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 at end of Issuer's Fiscal Year (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||
Amount | (A) or (D) | Price | |||||||||||||
Common Stock | 50,000(1) | D |
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) | |||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Option to Purchase Common Stock | (2) | (3) | (4) | Common Stock | 5,233(5) | 5,233(5) | D |
Explanation of Responses: |
1. The beneficial ownership report on Form 5 that was filed with the SEC on January 28, 2016, erroneously attributed 86,000 shares to Mr. Alosa that were actually acquired by his son, Joseph Alosa, Jr. Therefore, the correct amount of securities beneficially owned by Mr. Alosa at the end of December 31, 2015 was actually 50,000 shares of common stock. |
2. At the time the original beneficial ownership report was filed on Form 5, Mr. Alosa had the right to purchase 3,233 shares under an option agreement and his spouse had the right to purchase 2,000 shares of common stock upon the exercise of a warrant. These stock options and warrants have varying exercise prices. |
3. At the time the original beneficial ownership report was filed on Form 5, Mr. Alosa had the right to purchase 3,233 shares under an option agreement and his spouse had the right to purchase 2,000 shares of common stock upon the exercise of a warrant. These stock options and warrants have varying exercise dates. |
4. At the time the original beneficial ownership report was filed on Form 5, Mr. Alosa had the right to purchase 3,233 shares under an option agreement and his spouse had the right to purchase 2,000 shares of common stock upon the exercise of a warrant. These stock options and warrants have varying expiration dates. |
5. At December 31, 2015, Mr. Alosa had 5,233 vested option shares, inclusive of 2,000 shares issuable upon the exercise of a warrant held by Mr. Alosa's spouse. |
/s/Joseph Alosa, Sr. By: Maria G. Fernandez, Attorney-in-Fact | 02/14/2017 | |
** 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. |