SEC Form 3
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*
Tu Denny

(Last) (First) (Middle)
12582 WEST MILLENNIUM DRIVE

(Street)
PLAYA VISTA CA 90094

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
03/16/2020
3. Issuer Name and Ticker or Trading Symbol
IMAX CORP [ IMAX ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Marketing Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 shares (opening balance) 2,418(1) D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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
stock options (to buy) opening balance (2) 03/07/2025 common shares 3,252 20.85 D
stock options (to buy) opening balance (3) 03/07/2026 common shares 7,072 22.49 D
restricted share units opening balance(4) (5) (5) common shares 2,967 0.00(6) D
restricted share units opening balance(4) (7) (7) common shares 6,670 0.00(6) D
restricted share units opening balance(4) (8) (8) common shares 12,634 0.00(6) D
Explanation of Responses:
1. Mr. Tu became an insider of IMAX Corporation on March 16, 2020.
2. 1,479 of the stock options will become exercisable on March 7, 2021 and 1,773 on March 7, 2022.
3. 2,210 of the stock options will become exercisable on each of March 7, 2021 and March 7, 2022 and 2,652 on March 7, 2023.
4. Each restricted share unit represents a contingent right to receive one common share of IMAX Corporation.
5. 1,349 of the restricted share units will vest and be converted to common shares on March 7, 2021 and 1,618 on December 1, 2021.
6. Each restricted share unit is the economic equivalent of one common share of IMAX Corporation.
7. 2,084 of the restricted share units will vest and be converted to common shares on each of March 7, 2021 and March 7, 2022 and 2,502 on December 1, 2022.
8. The restricted share units vest and will be converted to common shares in three installments: 4,211 on each of March 7, 2021 and March 7, 2022 and 4,212 on March 7, 2023.
Remarks:
/s/ Denny Tu 03/25/2020
** 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.
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