- Statement of Changes in Beneficial Ownership (4)
March 02 2010 - 9:58PM
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
*
CALDWELL DONALD R
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2. Issuer Name
and
Ticker or Trading Symbol
VOXWARE INC
[
VOXW
]
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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)
CROSS ATLANTIC CAPITAL PARTNERS, 100 MATSONFORD ROAD #555
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/26/2010
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(Street)
RADNOR, PA 29087
(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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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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Stock Option (right to buy)
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$5.15
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2/26/2010
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D
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1000
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(1)
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6/25/2013
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Common Stock
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6667
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(2)
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12000
(3)
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D
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Stock Option (right to buy)
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$3.27
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2/26/2010
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D
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6667
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(4)
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10/20/2015
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Common Stock
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1000
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(5)
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5333
(3)
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D
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Stock Option (right to buy)
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$7.50
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2/26/2010
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D
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3333
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(6)
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12/14/2017
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Common Stock
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3333
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(7)
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2000
(3)
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D
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Stock Option (right to buy)
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$1.50
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2/26/2010
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A
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869
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(1)
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2/26/2017
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Common Stock
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869
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(2)
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2869
(3)
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D
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Stock Option (right to buy)
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$1.50
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2/26/2010
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A
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5797
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(4)
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2/26/2017
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Common Stock
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5797
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(5)
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8666
(3)
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D
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Stock Option (right to buy)
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$1.50
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2/26/2010
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A
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2898
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(6)
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2/26/2017
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Common Stock
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2898
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(7)
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11564
(3)
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D
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Explanation of Responses:
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(
1)
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The option provided for vesting in four equal annual installments upon the Reporting Person's continuation in employment with
the Issuer over the four-year period measured from the December 13, 2007 grant date.
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(
2)
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On February 26, 2010, the Reporting Person disposed of an option to purchase 1,000 shares of common stock, pursuant to the
Issuer's option exchange program, in exchange for an option to purchase 869 shares of common stock at an exercise price of
$1.50.
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(
3)
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Includes multiple option grants and vesting schedules.
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(
4)
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The option provided for vesting in four equal annual installments upon the Reporting Person's continuation in employment with
the Issuer over the four-year period measured from the December 28, 2006 grant date.
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(
5)
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On February 26, 2010, the Reporting Person disposed of an option to purchase 6,667 shares of common stock, pursuant to the
Issuer's option exchange program, in exchange for an option to purchase 5,797 shares of common stock at an exercise price of
$1.50.
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(
6)
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The option provided for vesting in four equal annual installments upon the Reporting Person's continuation in employment with
the Issuer over the four-year period measured from the October 18, 2005 grant date.
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(
7)
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On February 26, 2010, the Reporting Person disposed of an option to purchase 3,333 shares of common stock, pursuant to the
Issuer's option exchange program, in exchange for an option to purchase 2,898 shares of common stock at an exercise price of
$1.50.
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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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CALDWELL DONALD R
CROSS ATLANTIC CAPITAL PARTNERS
100 MATSONFORD ROAD #555
RADNOR, PA 29087
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X
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Signatures
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/s/ Donald R. Caldwell
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3/2/2010
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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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