3: Initial statement of beneficial ownership of securities
Published on August 29, 2018
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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 | ||||
| Employee Stock Options (right to buy) | (1) | 05/05/2019 | Common Stock | 5,812 | $ 12.75 | D | |
| Employee Stock Options (right to buy) | (2) | 04/08/2025 | Common Stock | 13,234 | $ 6.3 | D | |
| Employee Stock Options (right to buy) | (3) | 08/12/2025 | Common Stock | 2,764 | $ 6.3 | D | |
| Employee Stock Options (right to buy) | (4) | 11/20/2025 | Common Stock | 65,374 | $ 4.6 | D | |
| Employee Stock Options (right to buy) | (5) | 11/09/2026 | Common Stock | 53,617 | $ 1.54 | D | |
| Employee Stock Options (right to buy) | (6) | 10/26/2027 | Common Stock | 165,401 | $ 1.05 | D | |
| Employee Stock Options (right to buy) | (7) | 08/08/2028 | Common Stock | 195,368 | $ 0.9 | D | |
Reporting Owners
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| GOLDMAN LARRY C/O LIGHTBRIDGE CORPORATION 11710 PLAZA AMERICA DRIVE, SUITE 2000 RESTON, VA 20190 |
Chief Financial Officer | |||
Signatures
| /s/ Larry Goldman | 08/29/2018 | |
| **Signature of Reporting Person | Date |
Explanation of Responses:
| * | 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) | The option was subject to a three-year vesting schedule, with one-third vesting on each anniversary of May 5, 2014. |
| (2) | A portion of the option was subject to a three-year vesting schedule, with one-third vesting on each anniversary of April 8, 2015, and a portion was subject to shareholder approval. |
| (3) | A portion of the option was subject to a three-year vesting schedule, with one-third vesting on each anniversary of August 12, 2015. |
| (4) | A portion of the option, relating to 48,167 shares of common stock, is subject to a three-year vesting schedule, with one-third vesting on each anniversary of November 20, 2015. The remaining portion of the option, relating to 17,207 shares of common stock, was fully vested upon grant. |
| (5) | A portion of the option was subject to shareholder approval. |
| (6) | Portions of the option were subject to the attainment of specified milestones and shareholder approval. |
| (7) | The option is subject to a three-year vesting schedule, with one-third vesting on each anniversary of August 8, 2018. The option may vest earlier should defined milestones be achieved prior to December 31, 2019. |