FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
IMMERSION CORP [ IMMR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/10/2013 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 05/10/2013 | S | 1,238 | D | $13.83 | 646,084 | I | Held Directly by Dialectic Antithesis Offshore, Ltd.(1) | ||
Common Stock | 05/13/2013 | S | 8,239 | D | $14.09 | 637,845 | I | Held Directly by Dialectic Antithesis Offshore, Ltd. | ||
Common Stock | 05/14/2013 | S | 3,823 | D | $14.26 | 634,022 | I | Held Directly by Dialectic Antithesis Offshore, Ltd. | ||
Common Stock | 05/15/2013 | S | 3,618 | D | $14.04 | 630,404 | I | Held Directly by Dialectic Antithesis Offshore, Ltd. | ||
Common Stock | 05/16/2013 | S | 979 | D | $14.15 | 629,425 | I | Held Directly by Dialectic Antithesis Offshore, Ltd. | ||
Common Stock | 05/17/2013 | S | 84 | D | $14.03 | 629,341 | I | Held Directly by Dialectic Antithesis Offshore, Ltd. | ||
Common Stock | 05/20/2013 | S | 1,609 | D | $13.51 | 627,732 | I | Held Directly by Dialectic Antithesis Offshore, Ltd. | ||
Common Stock | 05/22/2013 | S | 4,230 | D | $14.55 | 623,502 | I | Held Directly by Dialectic Antithesis Offshore, Ltd. | ||
Common Stock | 05/23/2013 | S | 7,523 | D | $14.17 | 615,979 | I | Held Directly by Dialectic Antithesis Offshore, Ltd. | ||
Common Stock | 05/24/2013 | S | 7,212 | D | $14.7 | 608,767 | I | Held Directly by Dialectic Antithesis Offshore, Ltd. | ||
Common Stock | 05/28/2013 | S | 4,464 | D | $15.04 | 604,303 | I | Held Directly by Dialectic Antithesis Offshore, Ltd. | ||
Common Stock | 05/29/2013 | S | 19,013 | D | $14.75 | 585,290 | I | Held Directly by Dialectic Antithesis Offshore, Ltd. | ||
Common Stock | 05/10/2013 | S | 1,507 | D | $13.83 | 772,024(2) | I | Held Directly by Dialectic Antithesis Partners, LP(1) | ||
Common Stock | 05/13/2013 | S | 10,031 | D | $14.09 | 761,993 | I | Held Directly by Dialectic Antithesis Partners, LP | ||
Common Stock | 05/14/2013 | S | 4,654 | D | $14.26 | 757,339 | I | Held Directly by Dialectic Antithesis Partners, LP | ||
Common Stock | 05/15/2013 | S | 4,405 | D | $14.04 | 752,934 | I | Held Directly by Dialectic Antithesis Partners, LP | ||
Common Stock | 05/16/2013 | S | 1,192 | D | $14.15 | 751,742 | I | Held Directly by Dialectic Antithesis Partners, LP | ||
Common Stock | 05/17/2013 | S | 102 | D | $14.03 | 751,640 | I | Held Directly by Dialectic Antithesis Partners, LP | ||
Common Stock | 05/20/2013 | S | 1,959 | D | $13.51 | 749,681 | I | Held Directly by Dialectic Antithesis Partners, LP | ||
Common Stock | 05/22/2013 | S | 5,150 | D | $14.55 | 744,531 | I | Held Directly by Dialectic Antithesis Partners, LP | ||
Common Stock | 05/23/2013 | S | 9,159 | D | $14.17 | 735,372 | I | Held Directly by Dialectic Antithesis Partners, LP | ||
Common Stock | 05/24/2013 | S | 8,781 | D | $14.7 | 726,591 | I | Held Directly by Dialectic Antithesis Partners, LP | ||
Common Stock | 05/28/2013 | S | 5,435 | D | $15.04 | 721,156 | I | Held Directly by Dialectic Antithesis Partners, LP | ||
Common Stock | 05/29/2013 | S | 23,149 | D | $14.75 | 698,007 | I | Held Directly by Dialectic Antithesis Partners, LP | ||
Common Stock | 24,750 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Dialectic Capital Management, LLC ("Investment Manager") is the investment manager of Dialectic Antithesis Offshore, Ltd., Dialectic Antithesis Partners, LP, Dialectic Capital Partners, LP and Dialectic Offshore, Ltd. (collectively, the "Dialectic entities") and, as such, shares voting and dispositive power over the securities held by the Dialectic entities. The Investment Manager does not directly hold any securities of the Issuer. The Reporting Person is a managing member of the Investment Manager and shares such voting and dispositive power, but disclaims beneficial ownership of any of Issuer's securities in which he does not have a pecuniary interest or that he does not directly own. |
2. Includes 84,993 shares received as a liquidating distribution from Dialectic Offshore L2, Ltd. ("Dialectic L2"). In prior reports, the Reporting Person reported indirect beneficial ownership of 524,948 shares of the Issuer's common stock held directly by Dialectic L2. |
Remarks: |
This is the first of two Forms 4 filed by the Reporting Person on the same date. |
/s/ John Fichthorn by Amie Peters, Attorney-in-Fact | 07/08/2013 | |
** 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 4 (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. |