UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | Â (3)(4)(5) | 05/04/2021 | Common Stock | 33,333 | $ 5.04 | D | Â |
Series A Convertible Preferred Stock | Â (6) | Â (6) | Common Stock | 4,931 | $ (6) | D | Â |
Series C Convertible Preferred Stock | Â (6) | Â (6) | Common Stock | 1,754 | $ (6) | D | Â |
Series D Convertible Preferred Stock | Â (6) | Â (6) | Common Stock | 1,337 | $ (6) | D | Â |
Series E Convertible Preferred Stock | Â (6) | Â (6) | Common Stock | 469 | $ (6) | D | Â |
Series F Convertible Preferred Stock | Â (6) | Â (6) | Common Stock | 706 | $ (6) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SPITZEN JAY C/O VOCERA COMMUNICATIONS, INC. 525 RACE STREET SAN JOSE, CA 95126 |
 |  |  General Counsel & Secretary |  |
/s/ Jay Spitzen | 03/27/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Shares are unvested and subject to a right of repurchase held by the Issuer, which right of repurchase lapses as to 7,022 shares on April 1, 2012 and thereafter shall vest as to 976 shares per month through April 1, 2013. |
(2) | Shares are unvested and subject to a right of repurchase held by the Issuer, which right of repurchase lapses as to all shares on April 1, 2012. |
(3) | Immediately exercisable. |
(4) | 19,841 shares are unvested and shall vest as to 1/4th of the total number of shares on April 1, 2012, and thereafter shall vest as to 1/48th of the total number of shares in equal monthly installments. |
(5) | 13,492 shares are unvested and shall vest as to 1/48th of the total number of shares commencing on May 1, 2013. |
(6) | Each share of Series A, Series C, Series D, Series E, and Series F Convertible Preferred Stock is convertible into one share of common stock upon the completion of the Issuer's initial public offering and has no expiration date. |
 Remarks: Exhibit List - Exhibit 24 - Power of Attorney |