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 | ||||
Restricted Stock Units | Â (3) | Â (3) | Common Shares | 10,000 | $ (3) | D | Â |
Options (Common Shares) | 12/06/2012 | 12/06/2019 | Common Shares | 18,038 | $ 3.06 | D | Â |
Options (Common Shares) | 03/07/2013 | 03/07/2020 | Common Shares | 18,313 | $ 3.94 | D | Â |
Options (Common Shares) | 07/01/2013 | 07/01/2020 | Common Shares | 18,313 | $ 3.8 | D | Â |
Options (Common Shares) | 09/05/2013 | 09/05/2020 | Common Shares | 16,190 | $ 4.64 | D | Â |
Options (Common Shares) | 12/12/2013 | 12/12/2020 | Common Shares | 10,146 | $ 9.58 | D | Â |
Options (Common Shares) | 02/05/2014 | 02/05/2021 | Common Shares | 9,329 | $ 8.79 | D | Â |
Options (Common Shares) | 05/20/2014 | 05/20/2021 | Common Shares | 9,281 | $ 10.83 | D | Â |
Options (Common Shares) | 08/14/2014 | 08/14/2021 | Common Shares | 9,281 | $ 9.96 | D | Â |
Options (Common Shares) | 11/13/2014 | 11/13/2021 | Common Shares | 9,816 | $ 9.96 | D | Â |
Options (Common Shares) | 03/05/2015 | 03/05/2022 | Common Shares | 3,585 | $ 9.7 | D | Â |
Options (Common Shares) | 12/31/2015 | 05/14/2022 | Common Shares | 10,000 | $ 8.94 | D | Â |
Options (Common Shares) | 05/14/2015 | 05/14/2022 | Common Shares | 4,220 | $ 8.94 | D | Â |
Options (Common Shares) | 08/12/2015 | 08/12/2022 | Common Shares | 4,542 | $ 8.3 | D | Â |
Options (Common Shares) | 11/11/2015 | 11/11/2022 | Common Shares | 4,307 | $ 8.75 | D | Â |
Options (Common Shares) | 03/04/2017 | 03/04/2023 | Common Shares | 10,000 | $ 7.17 | D | Â |
Options (Common Shares) | 03/04/2016 | 03/04/2023 | Common Shares | 5,278 | $ 7.17 | D | Â |
Options (Common Shares) | 05/26/2016 | 05/26/2023 | Common Shares | 5,674 | $ 6.74 | D | Â |
Options (Common Shares) | 08/10/2016 | 08/10/2023 | Common Shares | 4,723 | $ 8.12 | D | Â |
Options (Common Shares) | 11/09/2016 | 11/09/2023 | Common Shares | 5,713 | $ 6.62 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MATTHEWS TERENCE H 390 MARCH ROAD, SUITE 110 OTTAWA, A6 K2K 0G7 |
 X |  |  Chairman of the Board |  |
/s/ Dr. Terence Hedley Matthews | 12/21/2016 | |
**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) | Dr. Matthews owns 100% of the outstanding voting shares of 4293711 Canada Inc. ("4293711 Canada") which in turn owns 99.9% of the outstanding voting shares of Wesley Clover International Corporation ("WCIC") (the remaining 0.01% of the outstanding voting shares of WCIC are owned by the Matthews Family Trust, of which Dr. Matthews is one of three trustees). WCIC owns 100% of the outstanding voting shares of Kanata Research Park Corporation ("Kanata"). On January 1, 2017, Kanata will amalgamate into WCIC. |
(2) | Pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), each of Dr. Matthews, WCIC and 4293711 Canada may be deemed the beneficial owner of all of the common shares (the "Common Shares") of Mitel Networks Corporation (the "Company") beneficially owned by Kanata (and, after January 1, 2017, those shares beneficially owned by WCIC). The filing of this Form 3 shall not be construed as an admission that the Reporting Persons share beneficial ownership of these shares, and the Reporting Persons expressly disclaim such beneficial ownership except to the extent of any pecuniary interest therein. |
(3) | Represents 10,000 Common Shares of the Company underlying 10,000 Restricted Stock Units ("RSUs") granted to Dr. Matthews on March 4, 2016. The RSUs are scheduled to vest on February 28, 2017. |