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Share Name | Share Symbol | Market | Type |
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Ucn (MM) | NASDAQ:UCNN | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
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0.00 | 0.00% | 1.28 | 0 | 00:00:00 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
|
OMB APPROVAL
OMB Number: 3235-0287 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
FISHER BLAKE O JR |
2. Issuer Name
and
Ticker or Trading Symbol
UCN INC [ UCNN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__ X __ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
2784 AMERICAN SADDLER DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
PARK CITY, UT 84060 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price |
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) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. 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 |
7. Title and Amount of Securities Underlying Derivative Security
(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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Options | $2.25 | 11/5/2008 | D (1) | 30000 | (1) | 9/29/2009 | Common Stock | 30000 | (1) | 0 | D | ||||
Employee Stock Options | $2.25 | 11/5/2008 | A (1) | 30000 | (1) | 11/5/2013 | Common Stock | 30000 | (1) | 30000 | D | ||||
Employee Stock Options | $2 | 11/5/2008 | D (2) | 20000 | (2) | 11/8/2010 | Common Stock | 20000 | (2) | 0 | D | ||||
Employee Stock Options | $2 | 11/5/2008 | A (2) | 20000 | (2) | 11/5/2013 | Common Stock | 20000 | (2) | 20000 | D | ||||
Employee Stock Options | $3.11 | 11/5/2008 | D (3) | 20000 | (3) | 11/7/2011 | Common Stock | 20000 | (3) | 0 | D | ||||
Employee Stock Options | $3.11 | 11/5/2008 | A (3) | 20000 | (3) | 11/5/2013 | Common Stocck | 20000 | (3) | 20000 | D | ||||
Employee Stock Options | $4.2 | 11/5/2008 | D (4) | 5000 | (4) | 5/9/2012 | Common Stock | 5000 | (4) | 0 | D | ||||
Employee Stock Options | $4.2 | 11/5/2008 | A (4) | 5000 | (4) | 11/5/2013 | Common Stock | 5000 | (4) | 5000 | D | ||||
Employee Stock Options | $4.57 | 11/5/2008 | D (5) | 32000 | (5) | 11/6/2012 | Common Stock | 32000 | (5) | 0 | D | ||||
Employee Stock Options | $4.57 | 11/5/2008 | A (5) | 32000 | (5) | 11/5/2013 | Common Stock | 32000 | (5) | 32000 | D |
Explanation of Responses: | |
( 1) | This is an amendment to two previously reported transactions originally filed on Form 4 with the SEC on November 6, 2008 that involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on September 29, 2004 and provides for vesting in three equal annual installments commencing on September 29, 2005. |
( 2) | This is an amendment to two previously reported transactions originally filed on Form 4 with the SEC on November 6, 2008 that involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 8, 2005 and 1,667 options vested on December 8, 2005 and the remaining 18,333 options vested on November 8, 2006. |
( 3) | This is an amendment to two previously reported transactions originally filed on Form 4 with the SEC on November 6, 2008 that involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 7, 2006 and vested on November 7, 2007. |
( 4) | This is an amendment to two previously reported transactions originally filed on Form 4 with the SEC on November 6, 2008 that involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 9, 2007 and vested immediately. |
( 5) | This is an amendment to two previously reported transactions originally filed on Form 4 with the SEC on November 6, 2008 that involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 6, 2007 and became fully vested on November 6, 2008. |
Reporting Owners
|
|||||
Reporting Owner Name / Address |
|
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Director | 10% Owner | Officer | Other | ||
FISHER BLAKE O JR
2784 AMERICAN SADDLER DRIVE PARK CITY, UT 84060 |
X |
|
|
|
Signatures
|
||
Blake Fisher | 11/24/2008 | |
** Signature of Reporting Person |
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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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