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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 | ||||||||
Stock Option (Right to Buy) | $ 1.74 | 05/07/2013 | G(1) | V | 125,852 | (3) | 07/30/2017 | Common Stock | 125,852 | $ 0 | 0 (4) | D | |||
Stock Option (Right to Buy) | $ 1.74 | 05/07/2013 | G(1) | V | 125,852 | (3) | 07/30/2017 | Common Stock | 125,852 | $ 0 | 953,925 (4) | I | By ZoCo, L.P. (2) | ||
Stock Option (Right to Buy) | $ 5.04 | 05/07/2013 | G(1) | V | 109,500 | (6)(5) | 05/04/2021 | Common Stock | 109,500 | $ 0 | 0 | D | |||
Stock Option (Right to Buy) | $ 5.04 | 05/07/2013 | G(1) | V | 109,500 | (6)(5) | 05/04/2021 | Common Stock | 109,500 | $ 0 | 109,500 | I | By ZoCo, L.P. (2) | ||
Stock Option (Right to Buy) | $ 5.04 | 05/07/2013 | M | 50,000 | (6)(5) | 05/04/2021 | Common Stock | 50,000 | $ 0 | 59,500 | I | By ZoCo, L.P. (2) | |||
Stock Option (Right to Buy) | $ 24.15 | 05/07/2013 | G(1) | V | 60,300 | (7) | 05/30/2022 | Common Stock | 60,300 | $ 0 | 20,700 | D | |||
Stock Option (Right to Buy) | $ 24.15 | 05/07/2013 | G(1) | V | 60,300 | (7) | 05/30/2022 | Common Stock | 60,300 | $ 0 | 60,300 | I | By ZoCo, L.P. (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ZOLLARS ROBERT C/O VOCERA COMMUNICATIONS, INC. 525 RACE STREET SAN JOSE, CA 95126 |
X | Chief Executive Officer |
/s/ Robert J. Zollars by Jay Spitzen, Attorney-in-Fact | 05/08/2013 | |
**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) | Involves a transfer of securities held directly by the Reporting Person to ZoCo, L.P. |
(2) | Mr. Zollars and his wife are general partners and their children are limited partners. Mr. Zollars disclaims beneficial ownership of shares held by ZoCo L.P. except to the extent of his pecuniary interest therein. |
(3) | The option fully vested on April 16, 2012. |
(4) | 828,073 stock options benefically owned by ZoCo, L.P. had been erroneously reported as being held directly by the Reporting Person. |
(5) | Immediately exercisable. |
(6) | The stock option grant vested as to 1/48th of the total number of shares on June 5, 2011, and thereafter vested and shall vest as to 1/48th of the total number of shares in equal monthly installments. |
(7) | The stock option vests as to 1/48th of the total number of shares on the last day of each successive month commencing on June 30, 2012. |