UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy) | 10/01/2005 | 10/01/2015 | Common Stock | 1,964 | $ 71.12 | D | |
Stock Option (Right to Buy) | 07/05/2005 | 01/03/2016 | Common Stock | 714 | $ 71.12 | D | |
Stock Option (Right to Buy) | 06/15/2007 | 06/15/2017 | Common Stock | 230 | $ 50.89 | D | |
Stock Option (Right to Buy) | 06/15/2007 | 06/15/2017 | Common Stock | 4,591 | $ 50.89 | D | |
Stock Option (Right to Buy) | 12/09/2008 | 12/09/2018 | Common Stock | 14,286 | $ 2.8 | D | |
Stock Option (Right to Buy) | 02/25/2010 | 02/25/2020 | Common Stock | 12,857 | $ 12.81 | D | |
Stock Option (Right to Buy) | 05/17/2011 | 05/17/2021 | Common Stock | 15,714 | $ 13.23 | D | |
Stock Option (Right to Buy) | (1) | 09/19/2023 | Common Stock | 18,729 | $ 2.97 | D | |
Stock Option (Right to Buy) | (2) | 03/04/2024 | Common Stock | 100,702 | $ 3.9 | D | |
Stock Option (Right to Buy) | (3) | 08/21/2025 | Common Stock | 50,000 | $ 1.16 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Northey Robert Allen C/O OCULUS INNOVATIVE SCIENCES, INC. 1129 N. MCDOWELL BLVD. PETALUMA, CA 94954 |
Exec. VP of Res & Devlpment |
/s/ Robert Miller as attorney-in-fact | 09/02/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Options will vest 1/36th per month over a three-year vesting schedule commencing on September 19, 2013. |
(2) | Options will vest 1/36th per month over a three-year vesting schedule commencing on March 4, 2014. |
(3) | Options will only vest in whole or in part in the event the executive achieves a minimum of 80% of each of his Target Milestones in the fiscal year ending March 31, 2016 as determined by the Compensation Committee by June 30, 2016. If such executive does not achieve 80% of each of their Target Milestones, then 100% of the options will expire. If the executive achieves at least 80% of their Target Milestones by March 31, 2016, then 80% of the executive's options will vest on June 30, 2016. The vesting of the remaining 20% is in the discretion of the Compensation Committee and will vest on June 30, 2016, if at all. |
Remarks: Exhibit List: Exhibit 24 - Power of Attorney |