Filing Details
- Accession Number:
- 0001206774-12-003959
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-09-05 19:28:48
- Reporting Period:
- 2012-08-31
- Filing Date:
- 2012-09-05
- Accepted Time:
- 2012-09-05 18:28:48
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 880562 | Daegis Inc. | DAEG | Services-Prepackaged Software (7372) | 942710559 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1243292 | Todd Wille | 1420 Rocky Ridge Drive, Suite 380 Roseville CA 95661 | President, Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2012-08-31 | 5,000 | $0.92 | 147,979 | No | 5 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | $2.55 | 2017-05-01 | 30,000 | 30,000 | Direct | |
| Common Stock | Stock Option | $2.55 | 2017-05-01 | 24,000 | 24,000 | Direct | |
| Common Stock | Stock Option | $5.20 | 2017-11-27 | 60,000 | 60,000 | Direct | |
| Common Stock | Stock Option | $6.40 | 2018-05-02 | 75,000 | 75,000 | Direct | |
| Common Stock | Stock Option | $2.60 | 2019-05-05 | 87,500 | 87,500 | Direct | |
| Common Stock | Stock Option | $3.56 | 2020-05-04 | 63,750 | 63,750 | Direct | |
| Common Stock | Stock Option | $2.90 | 2021-05-02 | 66,000 | 66,000 | Direct | |
| Common Stock | Stock Option | $1.92 | 2021-07-01 | 74,250 | 74,250 | Direct | |
| Common Stock | Stock Option | $1.92 | 2021-07-01 | 24,750 | 24,750 | Direct | |
| Common Stock | Stock Option | $1.40 | 2022-05-01 | 50,000 | 50,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-05-01 | 30,000 | 30,000 | Direct |
| 2017-05-01 | 24,000 | 24,000 | Direct |
| 2017-11-27 | 60,000 | 60,000 | Direct |
| 2018-05-02 | 75,000 | 75,000 | Direct |
| 2019-05-05 | 87,500 | 87,500 | Direct |
| 2020-05-04 | 63,750 | 63,750 | Direct |
| 2021-05-02 | 66,000 | 66,000 | Direct |
| 2021-07-01 | 74,250 | 74,250 | Direct |
| 2021-07-01 | 24,750 | 24,750 | Direct |
| 2022-05-01 | 50,000 | 50,000 | Direct |
Footnotes
- Non Plan Option granted 5/1/07 (#3737) and vests monthly as to one forty-eighth (1/48th) of the subject shares upon completion of each full month of continuous employment with Daegis Inc. Option is exercisable to the extent vested.
- Non Plan Option granted 5/1/07 (#3740) and vests in full on 4/30/08 if several financial performance goals are achieved.
- Non Plan Option granted 11/27/07 (#3788) and vests monthly as to one forty-eighth (1/48th) of the subject shares upon completion of each full month of continuous employment with Daegis Inc. Option is exercisable to the extent vested.
- Option granted 5/2/08, pursuant to the 2001 Stock Option Plan and vests monthly as to one forty-eighth (1/48th) of the subject shares upon completion of each full month of continuous employment with Daegis Inc. Option is exercisable to the extent vested.
- Option granted 5/5/09, pursuant to the 2001 Stock Option Plan and vests monthly as to one forty-eighth (1/48th) of the subject shares upon completion of each full month of continuous employment with Daegis Inc. Option is exercisable to the extent vested.
- Option granted 5/4/10, pursuant to the 2001 Stock Option Plan and vests monthly as to one forty-eighth (1/48th) of the subject shares upon completion of each full month of continuous employment with Daegis Inc. Option is exercisable to the extent vested.
- Option granted 5/2/11, pursuant to the 2010 Stock Option Plan and vests monthly as to one forty-eighth (1/48th) of the subject shares upon completion of each full month of continuous employment with Daegis Inc. Option is exercisable to the extent vested.
- Option granted 7/1/11, pursuant to the 2010 Stock Option Plan and vests monthly as to one forty-eighth (1/48th) of the subject shares upon completion of each full month of continuous employment with Daegis Inc. Option is exercisable to the extent vested.
- Option granted 7/1/11, pursuant to the 2010 Stock Option Plan and vests over a three-year period with sixty-seven (67%) percent vesting on April 30, 2013 and the remainder will vest evenly as to 1/12th per month until the option is fully vested on April 30, 2014 if specific stock price appreciation goals are achieved.
- Option granted 5/1/12, pursuant to the 2010 Stock Option Plan and vests monthly as to one forty-eighth (1/48th) of the subject shares upon completion of each full month of continuous employment with Daegis Inc. Option is exercisable to the extent vested.
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