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 | ||||
Warrants to purchase Common Stock | 04/30/2012 | 04/30/2014 | Common Stock | 9,923 (1) (2) | $ 3.03 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Morgan Douglas J 7600 S. RAINBOW BLVD. #1129 LAS VEGAS, NV 89139 |
 X |  |  |  |
/s/ Douglas J. Morgan | 05/19/2009 | |
**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) | This amendment is being filed to include an additional warrant to purchase 9,923 shares of SCM Microsystems, Inc. common stock for an exercise price of $3.03 per share which is beneficially owned by the reporting person, that was not reported on the original Form 3. |
(2) | The securities reported herein were acquired pursuant to a merger between Hirsch Electronics Corporation and Deer Acquisition, Inc., a wholly-owned subsidiary of SCM Microsystems, Inc., in which each outstanding warrant to purchase shares of Hirsch Electronics Corporation was converted at the effective time of the merger into the right to receive a warrant to purchase shares of SCM Mircosystems, Inc. common stock with a five year term, exercisable for two years following the third anniversary of the effective time of the merger. The number of shares and the per share exercise price was determined by applying a conversion ratio to the warrants to purchase shares of Hirsch Electronics Corporation as provided for in the merger agreement. The merger closed on April 30, 2009. |