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 Options (right to purchase) | 09/18/2012 | 09/18/2017 | Common stock | 162 | $ 13.2 | D | |
Stock Options (right to purchase) | 04/24/2014 | 04/24/2019 | Common stock | 2,273 | $ 26.4 | D | |
Stock Options (right to purchase) | 08/06/2015 | 08/06/2025 | Common stock | 7,500 | $ 1.19 | D | |
Stock Options (right to purchase) (1) | 09/29/2015 | 09/29/2025 | Common stock | 275,000 | $ 1.32 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Roller Robert C/O WPCS INTERNATIONAL INCORPORATED 521 RAILROAD AVENUE SUISUN CITY, CA 94585 |
Pres/Acquisition & Development |
/s/ Robert Roller | 11/02/2015 | |
**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) | The Options were granted under the WPCS International Incorporated 2014 Equity Incentive Plan. 25,000 options vested immediately upon granting, 75,000 options will vest on April 30, 2016 and 175,000 options will vest upon either the issuer achieving certain revenue goals for the fiscal year ending April 30, 2016 or the issuer closing on a merger transaction by September 1, 2016. |