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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lyons Patrick M. 53 FOREST AVENUE OLD GREENWICH, CT 06870 |
CFO and CAO |
/s/ Patrick Lyons | 03/18/2019 | |
**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) | On March 9, 2017, 81,000 restricted share units were granted to the reporting person under the Hudson Global, Inc. 2009 Incentive Stock and Awards Plan, as amended and restated, for which the performance conditions to vesting were satisfied as of March 9, 2018 and reported in a Form 4 filed with the Securities and Exchange Commission on March 13, 2018. The restricted share units are also subject to time-based vesting conditions that vest 1/3 on the first anniversary of the date of the grant, 1/3 on the second anniversary of the date of the grant and 1/3 on the third anniversary of the date of the grant. The first 1/3 vested on March 9, 2018 as reported in a Form 4 filed with the Securities and Exchange Commission. The second 1/3 of the restricted share units vested on March 9, 2019. This Form 4 reflects payment of the tax liability by withholding shares of stock incident to vesting such restricted share units. |
(2) | Balance reflects the most current data available with regard to holdings in the 401(k) Plan. |
(3) | Balance reflects the reporting person's holdings in Hudson Global, Inc. Employee Stock Purchase Plan as of the date of this filing. |