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) 03/15/2013 |
3. Issuer Name and Ticker or Trading Symbol
Black Diamond, Inc. [ BDE ] |
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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, par value $0.0001 per share | 6,292 | D | |
Common Stock, par value $0.0001 per share | 805 | I | By spouse |
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 | ||||
Stock option (right to purchase)(1) | (2) | 09/12/2020 | Common Stock, par value $0.0001 per share | 12,500 | $6.25 | D | |
Stock option (right to purchase)(1) | (3) | 01/01/2023 | Common Stock, par value $0.0001 per share | 7,500 | $8.2 | D |
Explanation of Responses: |
1. Granted pursuant to the Issuer's 2005 Stock Incentive Plan. |
2. Options to purchase 5,000 shares of Common Stock vested and became exercisable on December 31, 2012 and options to purchase 3,750 shares of Common Stock shall vest and become exercisable on each of December 31, 2013 and December 31, 2014. |
3. Options to purchase 3,000 shares of Common Stock shall vest and become exercisable on December 31, 2015 and options to purchase 2,250 shares of Common Stock shall vest and become exercisable on December 31, 2016 and December 31, 2017. |
Remarks: |
The Reporting Person disclaims beneficial ownership of the securities described in this statement, except to the extent of his pecuniary interest in such securities. |
/s/ Aaron Kuehne | 03/15/2013 | |
** 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 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. |