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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 | ||||
Options (Common Shares) | Â (1) | 03/05/2022 | Common Shares | 8,250 | $ 9.7 | D | Â |
Options (Common Shares) | Â (2) | 04/03/2021 | Common Shares | 7,500 | $ 10.11 | D | Â |
Options (Common Shares) | Â (3) | 09/27/2020 | Common Shares | 20,000 | $ 5.91 | D | Â |
Restricted Stock Units | Â (4) | Â (4) | Common Shares | 6,500 | $ (4) | D | Â |
Restricted Stock Units | Â (5) | Â (5) | Common Shares | 5,813 | $ (5) | D | Â |
Restricted Stock Units | Â (6) | Â (6) | Common Shares | 1,750 | $ (6) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
McCarthy Michael William 350 LEGGET DRIVE OTTAWA, A6 K2K 2W7 |
 |  |  See Remarks |  |
/s/ Michael William McCarthy | 12/20/2016 | |
**Signature of Reporting Person | Date |
* | 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) | 8,250 stock options to purchase common shares ("Common Shares") of Mitel Networks Corporation (the "Company") were granted to Mr. McCarthy on March 5, 2015. 515 options vested on June 5, 2015 and are scheduled to vest in approximately equal installments every three months thereafter until March 5, 2019. |
(2) | 7,500 stock options to purchase Common Shares of the Company were granted to Mr. McCarthy on April 3, 2014. 468 options vested on July 3, 2014 and are scheduled to vest in approximately equal installments every three months thereafter until April 3, 2018. |
(3) | 20,000 stock options to purchase Common Shares of the Company were granted to Mr. McCarthy on September 27, 2013. 1,250 options vested on December 27, 2013 and are scheduled to vest in equal installments every three months thereafter until September 27, 2017. |
(4) | Represents 6,500 Common Shares underlying 6,500 Restricted Stock Units ("RSUs") granted to Mr. McCarthy on March 4, 2016. These RSUs will vest as follows: (i) 1,625 of the RSUs will vest on March 4, 2017; (ii) 1,625 of the RSUs will vest on March 4, 2018; (iii) 1,625 of the RSUs will vest on March 4, 2019; and (iv) 1,625 of the RSUs will vest on March 4, 2020. |
(5) | Represents 5,813 Common Shares underlying 5,813 RSUs granted to Mr. McCarthy on March 5, 2015. These RSUs will vest as follows: (i) 1,937 of the RSUs will vest on March 5, 2017; (ii) 1,937 of the RSUs will vest on March 5, 2018; and (iii) 1,939 of the RSUs will vest on March 5, 2019. |
(6) | Represents 1,750 Common Shares underlying 1,750 RSUs granted to Mr. McCarthy on April 3, 2014. These RSUs will vest as follows: (i) 875 of the RSUs will vest on March 1, 2017; and (ii) 875 of the RSUs will vest on December 15, 2017. |
 Remarks: Mr. McCarthy's title is Vice President, Investor Relations. |