Initial Statement of Beneficial Ownership (3)
18 Juni 2022 - 12:36AM
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
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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
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Sabharwal Namrata |
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/1/2022
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3. Issuer Name and Ticker or Trading Symbol
OOMA INC [OOMA]
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(Last)
(First)
(Middle)
C/O OOMA, INC., 525 ALMANOR AVE., SUITE 200 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Accounting Officer / |
(Street)
SUNNYVALE, CA 94085
(City)
(State)
(Zip)
| 5. 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 33315 (1) | D | |
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) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 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) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | (2) | 3/30/2025 | Common Stock | 5000 | $9.18 | D | |
Employee Stock Option (Right to Buy) | (3) | 3/15/2030 | Common Stock | 1500 | $10.52 | D | |
Employee Stock Option (Right to Buy) | (4) | 3/1/2031 | Common Stock | 1000 | $16.28 | D | |
Explanation of Responses: |
(1) | Includes restricted stock units ("RSU") which vest as follows: (i) 1/16th of 7,500 RSUs will vest on the same day of every third month thereafter commencing on June 15, 2022 and (ii) 1/16th of 17,874 RSUs will vest on the same day of every third month thereafter commencing on September 1, 2022. |
(2) | The option is fully vested and exercisable. |
(3) | 1/16th of the shares subject to the option shall vest and become exercisable on June 15, 2020, and 1/16th of the shares subject to the option shall vest and become exercisable on the same day of every third month thereafter. 750 of the shares subject to the option are fully vested and are immediately exercisable. |
(4) | 1/16th of the shares subject to the option shall vest and become exercisable on June 1, 2021, and 1/16th of the shares subject to the option shall vest and become exercisable on the same day of every third month thereafter. 313 of the shares subject to the option are fully vested and are immediately exercisable. |
Remarks: Exhibit 24.1: Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Sabharwal Namrata C/O OOMA, INC. 525 ALMANOR AVE., SUITE 200 SUNNYVALE, CA 94085 |
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| Chief Accounting Officer |
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Signatures
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/s/ Namrata Sabharwal | | 6/16/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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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