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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 | ||||||||
Incentive Stock Option (right to buy) | $ 2.63 | (1) | 01/10/2015 | Common Stock | 25,000 | 25,000 | D | ||||||||
Incentive Stock Option (right to buy) | $ 2.9 | (1) | 12/10/2013 | Common Stock | 20,000 | 20,000 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 0.05 | (2) | 01/25/2010 | Common Stock | 50,286 | 50,286 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 0.07 | (3) | 01/29/2009 | Common Stock | 50,286 | 50,286 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 0.37 | (4) | 12/10/2008 | Common Stock | 10,059 | 10,059 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 0.37 | (5) | 03/09/2011 | Common Stock | 24,137 | 24,137 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 0.37 | (6) | 01/28/2012 | Common Stock | 20,114 | 20,114 | D | ||||||||
Warrant | $ 2.8 | 12/10/2003 | 12/10/2006 | Common Stock | 49,757 | 49,757 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
COLEMAN CLINT 10 TECHNOLOGY DRIVE WALLINGFORD, CT 06492 |
President of NPS Inc. |
By: John A. Glidden For: Clint Coleman | 02/17/2005 | |
**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) | 4yr 25% On Vest |
(2) | 50,286 shares at $0.05 30,171 vested 12/10/03, 10,057 vesting 1/25/04, 10,058 vesting 01/25/05 |
(3) | 50,286 shares at $0.07 40,229 vested 12/10/03, 10,057 vesting 01/29/04 |
(4) | 10,059 shares at $0.37 5 year vesting schedule starting 2/26/04 |
(5) | 24,137 shares at $0.37 9,654 vested on 12/10/03, 4,828 vesting 3/9/04, 4828 vesting 3/9/05, 4827 vesting 3/9/06 |
(6) | 20,114 shares at $0.37 4,022 vested 12/10/03, rest vest over 4 years starting 1/28/04 |