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 Option - Right to Buy | Â (1) | 10/15/2025 | Common Stock | 63,993 | $ 0 | D | Â |
Restricted Stock Unit | Â (2) | Â (2) | Common Stock | 8,288 | $ 0 | D | Â |
Restricted Stock Unit | Â (3) | Â (3) | Common Stock | 10,779 | $ 0 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Zucker Brett Scott C/O MONOTYPE IMAGING INC. 600 UNICORN PARK DRIVE WOBURN, MA 01801 |
 |  |  EVP, Chief Marketing Officer |  |
/s/ Dawn M. Rogers, Attorney-in-Fact | 01/09/2018 | |
**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) | The reporting person was granted an option to purchase these shares on 10/15/2015. 25% of this option vested on 10/15/2016, with the remaining portion vesting quarterly over the following three years. |
(2) | Represents contingent right to receive 1 share of Common Stock per RSU. Vesting depends on Company achievement of performance-based targets for the fiscal years ended 12/31/16, 12/31/17 and 12/31/18. Vesting date is the date of filing of the Company's Form 10-K for the associated fiscal year. 1/3 of the total grant is eligible to vest upon attainment of each year's performance targets. If a fiscal year target is not attained, the shares that would have been eligible to vest are forfeited. |
(3) | Represents contingent right to receive 1 share of Common Stock per RSU. Vesting depends on Company achievement of performance-based targets for fiscal year ended Dec. 31, 2017. Percentage of shares eligible to vest (if any) are based on level of target achievement for fiscal 2017. 50% of eligible shares vest on the third day following the date of the Company's filing of Form 10-K for fiscal year 2017 (the "Vesting Date"), and 25% of eligible shares vesting on each of the first and second anniversary of such Vesting Date. If no shares are eligible to vest on the Vesting Date, all shares under this grant are forfeited. |