0001213900-20-003942.txt : 20200214 0001213900-20-003942.hdr.sgml : 20200214 20200214160829 ACCESSION NUMBER: 0001213900-20-003942 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lim Colin CENTRAL INDEX KEY: 0001736030 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-55925 FILM NUMBER: 20619663 MAIL ADDRESS: STREET 1: C/O AERKOMM INC., 923 INCLINE WAY #39 CITY: INCLINE VILLAGE STATE: NV ZIP: 89451 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Aerkomm Inc. CENTRAL INDEX KEY: 0001590496 STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATION SERVICES, NEC [4899] IRS NUMBER: 463424568 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 44043 FREMONT BLVD. CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 877-742-3094 MAIL ADDRESS: STREET 1: 44043 FREMONT BLVD. CITY: FREMONT STATE: CA ZIP: 94538 FORMER COMPANY: FORMER CONFORMED NAME: Maple Tree Kids, Inc. DATE OF NAME CHANGE: 20131029 5 1 ownership.xml X0306 5 2019-12-31 0 0 0 0001590496 Aerkomm Inc. AKOM 0001736030 Lim Colin C/O AERKOMM INC., 923 INCLINE WAY, #39 INCLINE VILLAGE NV 89451 1 0 0 0 Stock option (right to buy) 13.95 2018-12-29 5 A 0 4000 0 A 2018-12-29 2028-12-29 Common Stock 4000 20000 D Stock option (right to buy) 3.96 2019-07-02 5 A 0 8000 0 A 2019-07-02 2029-07-02 Common Stock 8000 28000 D Stock option (right to buy) 9.00 2019-12-29 5 A 0 4000 0 A 2019-12-29 2029-12-29 Common Stock 4000 32000 D Represents ten-year non-qualified stock options to purchase 4,000 shares at $13.95 per share, granted to the Reporting Person on December 29, 2018 under the Issuer's equity incentive plan, pursuant to a stock option agreement, dated December 29, 2018, which vested immediately on the grant date. Includes previously reported ten-year non-qualified stock options to purchase 12,000 shares at $27.50 per share, granted to the Reporting Person on December 29, 2017 under the Issuer's equity incentive plan, pursuant to a stock option agreement, dated December 29, 2017, among which 4,000 shares vested on June 20, 2017 and the remaining shares vest in equal monthly installments over a period of three years. Also includes previously reported ten-year non-qualified stock options purchase 4,000 shares at $30.00 per share, granted to the Reporting Person on December 29, 2017 under the Issuer's equity incentive plan, pursuant to a stock option agreement, dated December 29, 2017, which vested immediately on the grant date. Represents ten-year non-qualified stock options to purchase 8,000 shares of the Issuer's common stock, granted to the Reporting Person under the Issuer's equity incentive plan, pursuant to a stock option agreement, dated July 2, 2019. The options will vest 25% upon the date of issuance of the grant, 25% upon the date the Company obtains from the AMF a visa on the Company's European listing prospectus, 25% upon the first anniversary of the date of issuance of the grant, and 25% upon the second anniversary of the date of issuance of the grant; except that, if the Company does not obtain from the AMF a visa on the Company's European listing prospectus, the stock options shall vest according to the following schedule: 25% upon the date of issuance of the grant, 50% upon the first anniversary of the date of issuance of the grant, and 25% upon the second anniversary of the date of issuance of the grant. Represents ten-year non-qualified stock options to purchase 4,000 shares at $9.00 per share, granted to the Reporting Person on December 29, 2019 under the Issuer's equity incentive plan, pursuant to a stock option agreement, dated December 29, 2019, which vests in equal monthly installments over a period of one year. /s/ Cheng Eam Lim 2020-01-27