FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/25/2018 |
3. Issuer Name and Ticker or Trading Symbol
NLIGHT, INC. [ LASR ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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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) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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: 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 | ||||
Stock Option (Right to buy) | (1) | 02/26/2025 | Common Stock | 24,000 | $0.75 | D | |
Stock Option (Right to buy) | (2) | 02/26/2025 | Common Stock | 24,000 | $0.75 | D | |
Stock Option (Right to buy) | (3) | 02/26/2025 | Common Stock | 59,878 | $0.75 | D | |
Stock Option (Right to buy) | (4) | 02/26/2025 | Common Stock | 20,000 | $0.75 | D | |
Stock Option (Right to buy) | (5) | 04/18/2025 | Common Stock | 40,000 | $0.75 | D | |
Stock Option (Right to buy) | (6) | 04/18/2025 | Common Stock | 48,000 | $0.75 | D | |
Stock Option (Right to buy) | (7) | 06/27/2025 | Common Stock | 40,000 | $0.75 | D | |
Stock Option (Right to buy) | (8) | 07/01/2026 | Common Stock | 20,000 | $1.1 | D | |
Stock Option (Right to buy) | (9) | 06/02/2027 | Common Stock | 40,000 | $1.45 | D |
Explanation of Responses: |
1. Three-fifths of the shares subject to the option vested on February 26, 2016, and one-twentieth of the shares subject to the option vest in quarterly installments thereafter subject to continued service through each such vesting date. In the event of a change in control, as defined in the Issuer's 2001 Stock Option Plan (the "2001 Plan"), 100% of the then-outstanding shares subject to the option will become vested. |
2. Two-fifths of the shares subject to the option vested on February 26, 2016, and one-twentieth of the shares subject to the option vest in quarterly installments thereafter subject to continued service through each such vesting date. In the event of a change in control, as defined in the 2001 Plan, 100% of the then-outstanding shares subject to the option will become vested. |
3. This option became fully vested on February 26, 2016. |
4. One-thirteenth of the shares subject to the option vested on May 26, 2016, and one-thirteenth of the shares subject to the option vest in quarterly installments thereafter, subject to continued service through each such vesting date. In the event of a change of control, as defined in the 2001 Plan, 100% of the then-outstanding shares subject to the option will become vested. |
5. One-fifth of the shares subject to the option vested on March 6, 2016, and one-twentieth of the shares subject to the option vest in quarterly installments thereafter subject to continued service through each such vesting date. In the event of a change in control, as defined in the 2001 Plan, 100% of the then-outstanding shares subject to the option will become vested. |
6. This option became fully vested on February 23, 2016. |
7. One-fifth of the shares subject to the option vested on June 9, 2016, and one-twentieth of the shares subject to the option vest in quarterly installments thereafter subject to continued service through each such vesting date. In the event of a change in control, as defined in the 2001 Plan, 100% of the then-outstanding shares subject to the option will become vested. |
8. One-fifth of the shares subject to the option vested on July 1, 2017, and one-twentieth of the shares subject to the option vest in quarterly installments thereafter subject to continued service through each such vesting date. In the event of a change in control, as defined in the 2001 Plan, 100% of the then-outstanding shares subject to the option will become vested. |
9. One-fifth of the shares subject to the option will vest on June 1, 2018, and one-twentieth of the shares subject to the option will vest in quarterly installments thereafter subject to continued service through each such vesting date. In the event of a change in control, as defined in the 2001 Plan, 100% of the then-outstanding shares subject to the option will become vested. |
/s/ Kerry Hill, as attorney-in-fact | 04/25/2018 | |
** 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 Number. |