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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 | ||||||||
| Non-qualified stock option (right to buy) | $ 1.68 | 06/22/2017 | A | 17,857 | (5) | 06/21/2027 | Common Stock | 17,857 | $ 0 | 17,857 | I | See footnote (2) | |||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| KONINKLIJKE PHILIPS NV PHILIPS CENTER, AMSTELPLEIN 2, 1096 BC AMSTERDAM, P7 |
X | X | ||
| /s/ Abhijit Bhattacharya, Chief Financial Officer | 03/15/2019 | |
| **Signature of Reporting Person | Date | |
| /s/ Marnix van Ginneken, Chief Legal Officer | 03/15/2019 | |
| **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) | The common stock represents shares issuable upon vesting of restricted stock units ("RSUs") granted to Nathan Harrington in his capacity as a director of Corindus Vascular Robotics, Inc. (the "Issuer") as part of his 2017 annual equity award. The RSUs were initially vested with respect to one quarter of the granted units. The RSUs provide for vesting in quarterly installments on December 22, 2017, March 22, 2018 and June 22, 2018, subject to Mr. Harrington's continuous service with the Issuer. |
| (2) | These securities are held directly by Nathan Harrington, an employee of the reporting person, as compensation for his service as a director of the Issuer. Pursuant to Mr. Harrington's arrangement with the reporting person as his employer, any compensation received by Mr. Harrington during his service as a director of the Issuer is for the benefit of the reporting person and, as such, Mr. Harrington intends to transfer his securities to the reporting person for no consideration. |
| (3) | The common stock represents shares issuable upon vesting of RSUs granted to Mr. Harrington in his capacity as a director of the Issuer as part of his 2018 annual equity award. The RSUs provide for vesting in quarterly installments on August 31, 2018, November 30, 2018, February 28, 2019 and May 31, 2019, subject to Mr. Harrington's continuous service with the Issuer through each such vesting date. |
| (4) | Includes 9,174 shares of common stock related to RSUs granted as part of Mr. Harrington's 2017 annual equity award which provided for initial vesting of one-quarter of the granted units and subsequent quarterly vesting on December 22, 2017, March 22, 2018 and June 22, 2018, subject to Mr. Harrington's continuous service with Issuer through each such vesting date |
| (5) | The underlying shares vest over a period of three years with 33.33% vesting on the first anniversary of the issuance date and 8.334% vesting at the end of each calendar quarter thereafter. |
| Remarks: Mr. Harrington is an employee of the reporting person and serves as a director of the Issuer. As a result, the reporting person may be deemed a director by deputization for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended. | |