3: Initial statement of beneficial ownership of securities
Published on February 14, 2020
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
| 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. | |||
| 1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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) |
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Stock Options (1) | 06/18/2013 | 06/17/2022 | Common Stock, par value $0.001 | 11,548 | $ 0.394 | D | |
| Stock Options (2) | 03/13/2013 | 12/12/2023 | Common Stock, par value $0.001 | 33,053 | $ 0.15 | D | |
| Stock Options (3) | 12/13/2014 | 12/12/2023 | Common Stock, par value $0.001 | 4,968 | $ 0.15 | D | |
| Stock Options (4) | 12/22/2016 | 12/21/2025 | Common Stock, par value $0.001 | 166,666 | $ 0.35 | D | |
| Stock Options (5) | 12/14/2018 | 12/13/2027 | Common Stock, par value $0.001 | 71,174 | $ 0.05 | D | |
| Stock Options (6) | 12/11/2020 | 12/21/2029 | Common Stock, par value $0.001 | 100,000 | $ 0.54 | D | |
Reporting Owners
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Schmittzeh Wendy C/O DATA STORAGE CORPORATION 48 SOUTH SERVICE ROAD, SUITE 203 MELVILLE, NY 11747 |
Secretary | |||
Signatures
| /s/ Wendy Schmittzeh | 02/14/2020 | |
| **Signature of Reporting Person | Date |
Explanation of Responses:
| * | 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). |
| (1) | 3,849 of the options vested on June 18, 2013, 3,849 of the options vested on June 18, 2014, and the remaining 3,850 options vested on June 18, 2015. |
| (2) | 100% of the options fully vested on March 13, 2013 |
| (3) | 1,656 of the options vested on December 13, 2014, 1,656 of the options vested on December 13, 2015, and the remaining 1,656 options vested on December 13, 2016. |
| (4) | 55,555 of the options vested on December 22, 2016, 55,555 of the options vested on December 22, 2017, and the remaining 55,556 options vested on December 13, 2018. |
| (5) | 23,725 of the options vested on December 14, 2018, 23,725 of the options vested on December 14, 2019, and the remaining 23,724 options will vest on December 14, 2020. |
| (6) | 33,333 of the options will vest on December 11, 2020, 33,333 of the options will vest on December 11, 2021, and the remaining 33,334 options will vest on December 11, 2022 |