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) 03/27/2012 |
3. Issuer Name and Ticker or Trading Symbol
VOCERA COMMUNICATIONS, INC. [ VCRA ] |
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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) |
Common Stock | 200,332 | I | By ZoCo L.P.(1) |
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 | ||||
Employee Stock Option (Right to Buy) | (2)(3) | 07/30/2017 | Common Stock | 1,067,625 | $1.74 | I | By ZoCo L.P.(1) |
Employee Stock Option (Right to Buy) | (2)(4) | 05/04/2021 | Common Stock | 109,500 | $5.04 | D |
Explanation of Responses: |
1. Mr. Zollars and his wife are general partners and their children are limited partners. Mr. Zollars disclaims beneficial ownership of shares held by ZoCo L.P. except to the extent of his pecuniary interest therein. |
2. Immediately exercisable. |
3. 181,137 shares are unvested and shall fully vest upon the earlier of (i) a sale of the Issuer (whether by stock acquisition, reorganization, merger or consolidation, or sale or license of substantially all the Issuer's assets, resulting in at least $400 million net proceeds to the Issuer's stockholders) or (ii) the Issuer's initial public offering, if following such initial public offering, the Issuer's market capitalization equals or exceeds $400 million for ten consecutive business days. |
4. The stock option grant vested as to 1/48th of the total number of shares on June 5, 2011, and thereafter vested and shall vest as to 1/48th of the total number of shares in equal monthly installments. |
Remarks: |
Exhibit List - Exhibit 24 - Power of Attorney |
/s/ Robert J. Zollars by Jay Spitzen, Attorney-in-Fact | 03/27/2012 | |
** 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. |