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
Estimated average burden
hours per response... 0.5 |
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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 * 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] |
(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)
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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)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
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 |
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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) |
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 |
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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
|
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
|
/s/ Namrata Sabharwal |
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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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