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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Options (right to buy) | $ 1.5 | 09/30/2017 | D | 66,500 | 12/21/2007 | 12/21/2017 | Common Stock | 66,500 | (1) | 0 | D | ||||
Options (right to buy) | $ 1.5 | 09/30/2017 | D | 18,500 | 12/21/2008 | 12/21/2017 | Common Stock | 18,500 | (1) | 0 | D | ||||
Options (right to buy) | $ 1 | 09/30/2017 | D | 75,000 | 05/28/2009 | 05/28/2019 | Common Stock | 75,000 | (1) | 0 | D | ||||
Options (right to buy) | $ 1.02 | 09/30/2017 | D | 40,000 | (2) | 07/27/2020 | Common Stock | 40,000 | (1) | 0 | D | ||||
Options (right to buy) | $ 1.5 | 09/30/2017 | A | 66,500 | 09/30/2017 | 12/21/2022 | Common Stock | 66,500 | $ 0 (1) | 66,500 | D | ||||
Options (right to buy) | $ 1.5 | 09/30/2017 | A | 18,500 | 09/30/2017 | 12/21/2022 | Common Stock | 18,500 | $ 0 (1) | 18,500 | D | ||||
Options (right to buy) | $ 1.15 | 09/30/2017 | A | 75,000 | 09/30/2017 | 12/21/2022 | Common Stock | 75,000 | $ 0 (1) | 75,000 | D | ||||
Options (right to buy) | $ 1.15 | 09/30/2017 | A | 40,000 | 09/30/2017 | 12/21/2022 | Common Stock | 40,000 | $ 0 (1) | 40,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PETERSON JANICE M C/O RESEARCH SOLUTIONS, INC. 15821 VENTURA BLVD., SUITE 165 ENCINO, CA 91436 |
X | See Remarks |
/s/ Alan Urban, Attorney-In-Fact | 10/03/2017 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The option was cancelled by mutual agreement of the reporting person and the issuer. The issuer granted a new option to purchase an equivalent number of shares with a term expiring on December 21, 2022 and an exercise price equal to the higher of the exercise price for the previous option and the closing price of one share of the issuer's common stock on the grant date. |
(2) | The options vest at 1/12th of the total options on the last day of each calendar quarter starting with the calendar quarter ending September 30, 2010. |
Remarks: Chief Publisher Relations Officer |