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, 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. | 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 | Â (5) | 05/23/2024 | Common Stock, $0.01 par value | 3,000 | $ 6.87 | D | Â |
Stock Options | Â (6) | 01/27/2022 | Common Stock, $0.01 par value | 6,000 | $ 2.85 | D | Â |
Stock Options | Â (7) | 05/09/2021 | Common Stock, $0.01 par value | 15,000 | $ 6 | D | Â |
Stock Options | Â (8) | 10/10/2022 | Common Stock, $0.01 par value | 8,000 | $ 2.24 | D | Â |
Stock Options | Â (9) | 02/24/2025 | Common Stock, $0.01 par value | 3,000 | $ 10.46 | D | Â |
Stock Options | Â (10) | 08/15/2026 | Common Stock, $0.01 par value | 7,500 | $ 5.52 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Areglado R. Scott C/O ICAD, INC. 98 SPIT BROOK ROAD, SUITE 100 NASHUA, NH 03062 |
 |  |  See Remarks |  |
/s/ R. Scott Areglado | 09/16/2016 | |
**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) | Restricted stock award granted on May 23, 2014, of which 1,667 shares vested on each of May 23, 2015 and May 23, 2016, and 1,666 shares will vest on May 23, 2016. Number of shares represents aggregate amount granted less shares withheld for taxes at vesting. |
(2) | Restricted stock award granted on February 24, 2015, of which 2,333 shares vested on February 24, 2016, and 2,333 shares will vest on February 24, 2017, and 2,334 shares will vest on February 24, 2018. Number of shares represents aggregate amount granted less shares withheld for taxes at vesting. |
(3) | Restricted stock award granted on October 29, 2015, vesting in equal installments of 12,500 shares on October 29, 2016, and October 29, 2017. |
(4) | Restricted stock award granted on August 15, 2016, vesting in installments of 1,667 shares on each of August 15, 2017 and August 15, 2018, and 1,666 shares on August 15, 2019. |
(5) | Stock options granted on May 23, 2014, vesting in equal installments of 1,000 shares on May 23, 2015, May 23, 2016, and May 23, 2017. |
(6) | Stock options granted on January 27, 2012, which are exercisable as of the date hereof. |
(7) | Stock options granted on May 9, 2011, which are exercisable as of the date hereof. |
(8) | Stock options granted on October 10, 2012, which are exercisable as of the date hereof. |
(9) | Stock options granted on February 24, 2015, vesting in equal installments of 1,000 shares on February 24, 2016, February 24, 2017, and February 24, 2018. |
(10) | Stock options granted on August 15, 2016, vesting in equal installments of 2,500 shares on August 15, 2017, August 15, 2018, and August 15, 2019. |
(11) | Restricted stock award granted on January 30, 2013, which is fully vested. Number of shares represents aggregate amount granted less shares withheld for taxes at vesting. |
 Remarks: Interim Chief Financial Officer, Interim Treasurer, Interim Secretary, Vice President and Corporate Controller |