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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 | ||||||||
Employee Stock Option (right to buy) | $ 0.11 | 07/24/2009 | A | 45,455 | 01/24/2010(1) | 07/24/2019 | Common Stock | 45,455 | $ 0 | 45,455 | D | ||||
Employee Stock Option (right to buy) | $ 0.52 | 10/01/2004 | 10/01/2013 | Common Stock | 35,000 | 35,000 | D | ||||||||
Employee Stock Option (right to buy) | $ 0.17 | 11/21/2004 | 05/21/2014 | Common Stock | 25,000 | 25,000 | D | ||||||||
Employee Stock Option (right to buy) | $ 0.05 | 11/10/2005 | 08/10/2015 | Common Stock | 75,000 | 75,000 | D | ||||||||
Employee Stock Option (right to buy) | $ 0.05 | 05/01/2006 | 11/01/2015 | Common Stock | 40,000 | 40,000 | D | ||||||||
Employee Stock Option (right to buy) | $ 0.12 | 05/16/2007 | 11/16/2016 | Common Stock | 41,667 | 41,667 | D | ||||||||
Employee Stock Option (right to buy) | $ 0.04 | 02/08/2009(2) | 08/08/2018 | Common Stock | 125,000 | 125,000 | D | ||||||||
Employee Stock Option (right to buy) | $ 0.04 | 08/08/2009(3) | 08/08/2018 | Common Stock | 15,000 | 15,000 | D | ||||||||
Employee Stock Option (right-to-buy) | $ 0.11 | 03/12/2008(4) | 09/12/2017 | Common Stock | 45,455 | 45,455 | D | ||||||||
Employee Stock Option (right-to-buy) | $ 0.11 | 09/12/2008(5) | 09/12/2017 | Common Stock | 15,000 | 15,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MIGLIOZZI JOSEPH J C/O ANDREA ELECTRONICS CORPORATION 65 ORVILLE DRIVE BOHEMIA, NY 11716 |
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By: Corisa Guiffre, Power of Attorney | 07/28/2009 | |
**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) | Stock Options granted on July 24, 2009 will vest as follows: 33.3% on January 24, 2010, 33.3% on July 24, 2010 and 33.4% on January 24, 2011. |
(2) | Stock Options granted on August 8, 2008 will vest as follows: 33.3% on February 8, 2009, 33.3% on August 8, 2009 and 33.4% on February 8, 2010. |
(3) | Stock Options granted on August 8, 2008 will vest as follows: 33.3% on August 1, 2009, 33.3% on August 1, 2010 and 33.4% on August 1, 2011. |
(4) | Stock Options granted on September 12, 2007 will vest as follows: 33.3% on March 12, 2008, 33.3% on September 12, 2008 and 33.4% on March 12, 2009. |
(5) | Stock Options granted on September 12, 2007 will vest as follows: 33.3% on September 12, 2008, 33.3% on September 12, 2009 and 33.4% on September 12, 2010. |