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) 12/31/2014 |
3. Issuer Name and Ticker or Trading Symbol
CUR MEDIA, INC. [ CURM ] |
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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 | 4,662,273 | D | |
Common Stock | 1,601,376 | I | See footnote(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 | ||||
Non-Statutory Stock Options | 01/28/2014 | 04/01/2022 | Common Stock | 127,389(2) | $0.04 | D | |
Non-Statutory Stock Options | 01/28/2014 | 10/01/2022 | Common Stock | 191,083(2) | $0.04 | D | |
Non-Statutory Stock Options | 01/28/2014 | 12/31/2022 | Common Stock | 50,956(2) | $0.04 | D | |
Non-Statutory Stock Options | 01/28/2014 | 02/02/2019 | Common Stock | 50,149(3) | $0.08 | I | See footnote(3) |
Restricted Stock Awards | 01/28/2014 | 10/17/2021 | Common Stock | 127,389(4) | $0 | I | See footnote(4) |
Non-Statutory Stock Options | 03/11/2018 | 03/11/2024 | Common Stock | 400,000(5) | $1 | D |
Explanation of Responses: |
1. These shares of Common Stock are held by The Thomas E. Brophy 2004 Grantor Retained Annuity Trust Dated 3/2/2004 (the "Brophy Trust"). Karen P. Brophy, the Reporting Peron's spouse, is Trustee of the Brophy Trust and has sole voting and investment power over the shares owned thereby. |
2. These Non-Statutory Stock Options were granted to the Reporting Person on January 28, 2014, under the Issuer's 2014 Equity Incentive Plan (the "Plan"). All of these options are currently vested. |
3. These Non-Statutory Stock Options were granted to the Brophy Trust on January 28, 2014, under the Plan. All 50,149 options are currently vested. |
4. These Restricted Stock Awards were issued to the Brophy Trust on January 28, 2014, under the Plan. All 127,389 shares of restricted stock are currently vested. |
5. These Non-Statutory Stock Options were granted to the Reporting Person on March 11, 2014, under the Plan. These options will vest (a) as to 100,000 of the underlying shares, on March 11, 2015, and (b) as to 300,000 of the underlying shares, ratably on a monthly basis over a 3.2-year period. |
/s/ Thomas Brophy | 01/12/2015 | |
** 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. |