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 | ||||
Employee Stock Option (right to buy) | Â (3) | 06/05/2017 | Common Stock | 1,500 | $ 8 | D | Â |
Employee Stock Option (right to buy) | Â (4) | 12/18/2017 | Common Stock | 2,500 | $ 5.2 | D | Â |
Employee Stock Option (right to buy) | Â (5) | 03/13/2018 | Common Stock | 16,000 | $ 8.8 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Finney Steven T C/O IDENTIV, INC. 2201 WALNUT AVENUE, SUITE 310 FREMONT, CA 94538 |
 |  |  Interim CFO |  |
/s/ Steven Finney | 12/03/2015 | |
**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) | Restricted Stock Units vesting 1/4 on March 13, 2015 with additional vesting quarterly over the following two years. Of the original award of 4,000 RSUs, 437 have been traded to cover taxes to date. |
(2) | Restricted Stock Units vesting 1/4 on December 15, 2015 with additional vesting of 1/12 quarterly over the following two years. |
(3) | The option vests and becomes exercisable as to 1/4 of the underlying shares on June 5, 2014 and in equal monthly installments over the following three years. |
(4) | The option vests and becomes exercisable as to 1/4 of the underlying shares on December 18, 2014 and in equal monthly installments over the following three years |
(5) | The option vests and becomes exercisable as to 1/4 of the underlying shares on March 13, 2015 and in equal monthly installments over the following three years.. |
 Remarks: Exhibit List:  Exhibit 24 - Power of Attorney |