Statement of Changes in Beneficial Ownership (4)
25 Febbraio 2020 - 5:02PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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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1. Name and Address of Reporting Person
*
Richardson Kevin A II |
2. Issuer Name and Ticker or Trading Symbol
SANUWAVE Health, Inc.
[
SNWW
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
100 CUMMINGS CENTER, SUITE 332D |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/30/2020 |
(Street)
BEVERLY, MA 01915
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Options | $0.20 | 1/30/2020 | | A | | 5200000 (1) | | (2) | 12/31/2022 | Common Stock, $0.01 par value | 5200000 | $0 | 5200000 | D | |
Explanation of Responses: |
(1) | The Company does not have sufficient authorized shares available for the issuance of shares of Common Stock upon the exercise of the Option, but the Company plans to seek shareholder approval of an increase in its authorized shares of Common Stock at this year's annual meeting of stockholders. |
(2) | Subject to the recipient's continued service and, all of the shares subject to the Option shall vest and become exercisable on the date on which the ten day average trading price for a share of the Company's Common Stock equals or exceeds $0.60 on or before December 31, 2022. If the forgoing condition has not been achieved on or before December 31, 2022, the Option shall be forfeited and cancelled as of December 31, 2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Richardson Kevin A II 100 CUMMINGS CENTER SUITE 332D BEVERLY, MA 01915 | X |
| Chief Executive Officer |
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Signatures
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/s/ Kevin A. Richardson II | | 2/25/2020 |
**Signature of Reporting Person | Date |
Grafico Azioni SANUWAVE Health (QB) (USOTC:SNWV)
Storico
Da Mag 2024 a Giu 2024
Grafico Azioni SANUWAVE Health (QB) (USOTC:SNWV)
Storico
Da Giu 2023 a Giu 2024
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