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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 (granted 11/14/2001) | $ 1.13 | 05/12/2011 | M | 3,000 | (1) | 11/14/2011 | Class A Common Stock | 3,000 | (1) | 0 | D | ||||
stock option (granted 11/22/2002) | $ 0.58 | 05/12/2011 | M | 5,000 | (1) | 11/22/2012 | Class A Common Stock | 5,000 | (1) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BECKER MARK T C/O BALDWIN TECHNOLOGY COMPANY INC. 2 TRAP FALLS ROAD SUITE 402 SHELTON, CT 06484 |
X | President & CEO |
Helen P. Oster under Power of Attorney for Mark T. Becker | 05/16/2011 | |
**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) | Stock Option granted to Reporting Person pursuant to Issuer's 1996 Stock Option Plan, as amended, exercisable on and after the first anniversary of the date of grant as to one third the number of shares granted, on and after the 2nd anniversary of the date of grant as to another one third the shares granted, and on and after the 3rd anniversary of the date of grant as to the remaining shares. |