- Statement of Changes in Beneficial Ownership (4)
March 30 2009 - 12:14PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
RAGUSKUS ANDREW G
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2. Issuer Name
and
Ticker or Trading Symbol
SONIC INNOVATIONS INC
[
SNCI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
2795 E. COTTONWOOD PKWY, SUITE 660
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/19/2009
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(Street)
SALT LAKE CITY, UT 84121
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock - Holding Line
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266727
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Option to buy common stock
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$5.70
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2/19/2009
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D
(1)
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64138
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11/19/2003
(8)
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11/19/2009
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Common Stock
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64138
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(2)
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275220
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D
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Option to buy common stock
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$5.70
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2/19/2009
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A
(1)
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64138
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11/19/2003
(8)
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11/19/2009
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Common Stock
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64138
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(2)
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339358
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D
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Option to buy common stock
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$7.50
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2/19/2009
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D
(3)
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55000
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12/14/2004
(8)
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12/14/2010
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Common Stock
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55000
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(2)
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284358
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D
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Option to buy common stock
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$7.50
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2/19/2009
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A
(3)
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55000
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12/14/2004
(8)
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12/14/2010
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Common Stock
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55000
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(2)
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339358
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D
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Option to buy common stock
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$6.29
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2/19/2009
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D
(4)
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90000
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12/16/2007
(8)
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12/16/2013
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Common Stock
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90000
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(2)
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249358
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D
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Option to buy common stock
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$6.29
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2/19/2009
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A
(4)
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90000
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12/16/2007
(8)
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12/16/2013
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Common Stock
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90000
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(2)
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339358
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D
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Option to buy common stock
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$3.49
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2/19/2009
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D
(5)
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68255
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11/19/2005
(8)
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11/19/2011
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Common Stock
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68255
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(2)
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271103
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D
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Option to buy common stock
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$3.49
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2/19/2009
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A
(5)
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68255
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11/19/2005
(8)
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11/19/2011
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Common Stock
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68255
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(2)
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339358
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D
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Option to buy common stock
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$4.20
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2/19/2009
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D
(6)
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25298
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1/2/2006
(8)
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1/2/2012
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Common Stock
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25298
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(2)
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314060
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D
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Option to buy common stock
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$4.20
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2/19/2009
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A
(6)
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25298
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1/2/2006
(8)
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1/2/2012
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Common Stock
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25298
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(2)
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339358
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D
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Option to buy common stock
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$2.86
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2/19/2009
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D
(7)
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36667
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2/6/2007
(8)
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2/6/2013
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Common Stock
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36667
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(2)
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302691
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D
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Option to buy common stock
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$2.86
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2/19/2009
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A
(7)
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36667
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2/6/2007
(8)
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2/6/2013
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Common Stock
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36667
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(2)
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339358
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D
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Explanation of Responses:
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(
1)
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Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on 11/19/1999, is fully vested and option expiration is 11/19/2009.
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(
2)
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Not applicable.
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(
3)
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Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on 12/14/2000, is fully vested and option expiration date is 12/14/2010.
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(
4)
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Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on 12/16/2003, is fully vested and option expiration date is 12/16/2013.
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(
5)
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Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on 11/19/2001, is fully vested and option expiration is 11/19/2011.
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(
6)
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Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on 1/2/2001, is fully vested and option expiration date is 1/2/2011.
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(
7)
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Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on 2/6/2003, is fully vested and option expiration date is 2/6/2013.
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(
8)
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Option fully vested
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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RAGUSKUS ANDREW G
2795 E. COTTONWOOD PKWY
SUITE 660
SALT LAKE CITY, UT 84121
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X
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Signatures
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/s/ Michael M. Halloran (Attorney in-fact)
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3/30/2009
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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