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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 | ||||||||
Stock Option (Right to Buy) | $ 1.96 | 02/19/2013 | M | 1,000,000 | (5) | 04/01/2013 | Common Stock | 1,000,000 | $ 0 | 0 | D | ||||
Stock Option (Right to Buy) | $ 1.4 | 02/19/2013 | M | 48,661 | (6) | 09/18/2013 | Common Stock | 48,661 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Citron Jeffrey A C/O VONAGE HOLDINGS CORP. 23 MAIN STREET HOLMDEL, NJ 07733 |
X | X |
/s/ Joann Vought, Attorney-in-fact for Jeffrey A. Citron | 02/21/2013 | |
**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) | Sale was made pursuant to a trading plan under Rule 10b5-1 under the Securities and Exchange Act of 1934, as amended, which was adopted on May 12, 2011 for estate planning and diversification purposes. |
(2) | The price reported in Column 4 is a weighted average price. The Common Stock was sold at prices ranging from $2.60 to $2.67. Upon request, the Reporting Person will provide to the Securities and Exchange Commission staff, the Issuer and any security holder of the Issuer full information regarding the number of shares of Common Stock sold at each separate price within the range. |
(3) | The price reported in Column 4 is a weighted average price. The Common Stock was sold at prices ranging from $2.58 to $2.66. Upon request, the Reporting Person will provide to the Securities and Exchange Commission staff, the Issuer and any security holder of the Issuer full information regarding the number of shares of Common Stock sold at each separate price within the range. |
(4) | The price reported in Column 4 is a weighted average price. The Common Stock was sold at prices ranging from $2.545 to $2.60. Upon request, the Reporting Person will provide to the Securities and Exchange Commission staff, the Issuer and any security holder of the Issuer full information regarding the number of shares of Common Stock sold at each separate price within the range. |
(5) | The option, originally representing a right to purchase a total of 1,000,000 shares, was fully vested as of April 1, 2012 and would have expired as of April 1, 2013. The Reporting Person engaged in a stock option exercise by attestation and sold shares in a separate transaction reported on this Form 4 to offset shares received on the exercise of the option. |
(6) | The option, originally representing a right to purchase a total of 48,661 shares, was fully vested as of September 18, 2006 and would have expired as of September 18, 2013. The Reorting Person paid the cash exercise price and sold shares in a separate transaction reported on this Form 4 to offset shares received on the exercise of the option. |
(7) | Represents shares sold by the Reporting Person to offset shares received on the exercise of the options reported on this Form 4. |
(8) | The price reported in Column 4 is a weighted average price. The Common Stock was sold at prices ranging from $2.60 to $2.635. Upon request, the Reporting Person will provide to the Securities and Exchange Commission staff, the Issuer and any security holder of the Issuer full information regarding the number of shares of Common Stock sold at each separate price within the range. |