Annual Statement of Changes in Beneficial Ownership (5)
December 15 2021 - 2:19PM
Edgar (US Regulatory)
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
DOHERTY SEAN L | 2. Issuer Name and Ticker or Trading SymbolPASSUR Aerospace, Inc. [pssr] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Exec. VP Finance & Admin |
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(Last)
(First)
(Middle)
C/O PASSUR AEROSPACE, INC., ONE LANDMARK SQUARE, SUITE 1905 | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY)
10/31/2021 |
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(Street)
STAMFORD, CT 06901
(City)
(State)
(Zip)
| 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
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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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) |
| Amount | (A) or (D) | Price |
Table II - Derivative Securities Acquired, Disposed of, or 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
(MM/DD/YYYY) | 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 at End of Issuer's Fiscal Year
(Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4) | 11. Nature of Indirect Beneficial Ownership
(Instr. 4) |
| (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Restricted Stock Units (1) | | 10/22/2021 | | A | 40000 | | (3) | (3) | Common Stock | 40000 | $0.63 (4) | 40000 | D | |
| Explanation of Responses: |
| (1) | On October 22, 2021, the issuer granted to the reporting person an award of restricted stock units pursuant to the issuer's 2019 Stock Incentive Plan, as amended. |
| (2) | Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's Common Stock. |
| (3) | The restricted stock unit award will vest in equal installments over a three-year period (provided that the reporting person continues to provide services to the issuer on the applicable vesting date), with the first installment vesting on October 22, 2022, and the remaining two installments vesting on October 22, 2023 and October 22, 2024. |
| (4) | Fair market value of security at time of grant |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
DOHERTY SEAN L
C/O PASSUR AEROSPACE, INC.
ONE LANDMARK SQUARE, SUITE 1905
STAMFORD, CT 06901 |
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| Exec. VP Finance & Admin |
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Signatures
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| /s/ Sean L Doherty | | 12/15/2021 |
| **Signature of Reporting Person | Date |
PASSUR Aerospace (CE) (USOTC:PSSR)
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