Initial Statement of Beneficial Ownership (3)
January 14 2019 - 4:24PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Areglado R. Scott
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/11/2019
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3. Issuer Name
and
Ticker or Trading Symbol
ICAD INC [icad]
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(Last)
(First)
(Middle)
98 SPIT BROOK ROAD, SUITE 100, C/O ICAD, INC.
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Interim Chief FinancialOfficer /
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(Street)
NASHUA, NH 03062
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock, $0.01 par value
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32409
(1)
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D
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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 Options
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(2)
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5/23/2024
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Common Stock, $0.01 par value
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3000
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$6.87
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D
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Stock Options
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(3)
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1/27/2022
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Common Stock, $0.01 par value
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6000
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$2.85
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D
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Stock Options
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(4)
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5/9/2021
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Common Stock, $0.01 par value
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15000
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$6
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D
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Stock Options
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(5)
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10/10/2022
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Common Stock, $0.01 par value
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8000
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$2.24
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D
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Stock Options
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(6)
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2/24/2025
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Common Stock, $0.01 par value
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3000
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$10.46
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D
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Stock Options
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(7)
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8/15/2026
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Common Stock, $0.01 par value
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7500
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$5.52
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D
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Explanation of Responses:
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(1)
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Includes (i) 1,667 shares subject to vesting on August 15, 2019, under a Restricted Stock Award granted on August 15, 2016 and (ii) 5,000 shares subject to vesting on each of September 20, 2019 and September 20, 2020 under a Restricted Stock Award granted on September 20, 2017.
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(2)
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Stock options granted on May 23, 2014, all of which are exercisable as of the date hereof.
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(3)
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Stock options granted on January 27, 2012, all of which are exercisable as of the date hereof.
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(4)
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Stock options granted on May 9, 2011, all of which are exercisable as of the date hereof.
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(5)
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Stock options granted on October 10, 2012, all of which are exercisable as of the date hereof.
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(6)
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Stock options granted on February 24, 2015, all of which are exercisable as of the dated hereof.
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(7)
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Stock options granted on August 15, 2016, 5,000 of which are exercisable as of the date hereof. Options to purchase 2,500 shares will vest on August 15, 2019.
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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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Areglado R. Scott
98 SPIT BROOK ROAD, SUITE 100
C/O ICAD, INC.
NASHUA, NH 03062
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Interim Chief FinancialOfficer
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Signatures
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/s/ R. Scott Areglado
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1/14/2019
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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 5(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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