-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, LlnOQyu/TX91lOiHdrji8LpotwCfgrOAXVs/zzsiZHgUW2vTouZEB3VaaIf/8g07 QIziOlVmbea92Wu/BYkYQQ== 0001434496-08-000004.txt : 20080609 0001434496-08-000004.hdr.sgml : 20080609 20080609185739 ACCESSION NUMBER: 0001434496-08-000004 CONFORMED SUBMISSION TYPE: 5/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071231 FILED AS OF DATE: 20080609 DATE AS OF CHANGE: 20080609 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HAUPPAUGE DIGITAL INC CENTRAL INDEX KEY: 0000930803 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER PERIPHERAL EQUIPMENT, NEC [3577] IRS NUMBER: 113227864 STATE OF INCORPORATION: DE FISCAL YEAR END: 1226 BUSINESS ADDRESS: STREET 1: 91 CABOT COURT CITY: HAUPPAUGE STATE: NY ZIP: 11788 BUSINESS PHONE: 5164341600 MAIL ADDRESS: STREET 1: 91 CABOT COURT CITY: HAUPPAUGE STATE: NY ZIP: 11788 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Aupperle Laura Jean CENTRAL INDEX KEY: 0001434496 FILING VALUES: FORM TYPE: 5/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-13550 FILM NUMBER: 08889292 BUSINESS ADDRESS: BUSINESS PHONE: 631-724-5313 MAIL ADDRESS: STREET 1: 23 SEQUOIA DRIVE CITY: HAUPPAUGE STATE: NY ZIP: 11788 5/A 1 primary_doc.xml PRIMARY DOCUMENT X0202 5/A 2007-12-31 2008-06-06 1 1 0 0000930803 HAUPPAUGE DIGITAL INC Haup 0001434496 Aupperle Laura Jean 23 SEQUOIA DRIVE HAUPPAUGE NY 11788 0 0 1 0 Employee Stock Option (right to buy) 1.575 3 2002-01-28 Common Stock 300000 0 D Non-Qualified Stock Option Plan (right to buy) 1.5 3 1996-03-14 2006-03-14 Common Stock 18000 0 D Company's Lease (right to buy) 1.9062 3 1996-12-16 2006-12-16 Common Stock 30000 0 I Through ownership of another company Employee Stock Option (Right to buy) 2.3125 3 1998-01-20 2008-01-20 Common Stock 60000 0 D Employee Stock Option 2.5438 3 1999-01-22 2002-01-28 Common Stock 57500 0 D Employee's Stock Option (Right to Buy) 2.5438 3 1999-01-22 2002-01-28 Common Stock 32500 0 D Employee's Stock Option (Right to Buy) 5.775 3 2002-01-21 2003-01-28 Common Stock 34600 0 D Employee's Stock Option (Right to Buy) 5.25 3 2001-01-21 2003-01-28 Common Stock 34600 0 D The Reporting Person inherited stock options to purchase 300,000 shares of Hauppauge Digital stock at $1.575 per share originally granted to reporting person's spouse in his 1995 Employment Agreement with the Company, prior to a 2:1 stock split in March 2000 the options provided for 150,000 shares at $3.15 per share,For the years that the company attained an audited pre-tax income of $1 million the options are exercisable the first full fiscal year after the date of the grant and for each of the four years thereafter,however for years the Company did not reach an audited pre-tax income of $1 million, the options are exercisable only in last year of the option term (January 9, 2006), however, due to spouse's death all the opions expire within one year of the date of his death (January 28, 2002), rendering the options to acquire shares not exercisable by the Reporting Person; On January 29, 2001, the Reporting Person acquired beneficial ownership of her spouse's stock options and warrants. All options, as the date of filing, have expired and have not been exercised The Reporting Person inherited stock options to purchase 18,000 shares of Hauppauge Digitinal Stock at $1.50 per share originally granted to Reporting Person's spouse, the terms of the options are pursuant to the Company's 1996 Non-Qualified Stock Option Plan, prior to a 2:1 stock split in March 2000, the options were for 15,000 shares at $3.00 per share, prior to spouse's death, reporting person's spouse exercised options on 12,000 shares, leaving the Reporting Person to inherit options to acquire 18,000 shares, the options are exercisable for a period of 10 years and expired on March 14, 2006; Pursuant to Hauppauge Digital's lease with Ladokk Realty Co., which the Reporting Person is a partner and her deceased spouse was a partner, Hauppauge Digital issued a warrant to Ladokk for 30,000 shares at $3 13/16 per share, which changed to 60,00 shares after a 2:1 stock split in 2000 at 1.90625 per share. Both reporting person and her spouse had a 25% interest in the warrant, since the demise of the reporting person's spouse, the reporting person now has a 50% interest in the warrant. The warrant is exercisable for a term of twn years and expired on December 16, 2006. The Reporting Person inherited stock options to purchase 60,000 shares of Hauppage Digital stock at $2,3125 per share originally granted to Reporting Person's spouse in 1998 Employment Agreement, prior to the 2:1 stock split in March 2000, the options provided for the purchase of 30,000 shares at $4.625 per share, the options were exercisable for a priod of ten years and expired on January 20, 2008. The Reporting Person inherited stock options to purchase 57,500 shares at $2.54375 per share originally granted to Reporting Person's spouse in his 1998 Employment Agreement with Hauppauge Digital, the terms of the options are pursuant to the 1994 Incentive Stock Option Plan. The options become exercisable on January 22, 1999 in increments of 33 1/3% per year, due to Reporting Spouse's death, the options expired one year after the date of his death (January 28, 2002). The Reporting Person inherited stock options to purchase 32,500 shares at $2.54375 per share originally granted to Reporting Person's spouse in his 1998 Employment Agreement with Hauppauge Digital. The terms of the options are pursuant to the 1998 Incentive Stock option Plan, the options beame exercisable on January 22, 1999 in increments of 33 1/3% per year, due to spouse's death, the options expired on eyear after the date of his death (January 28, 2002). The Reporting Person inherited stock options to purchase 34,600 shares at $5.775 per share, the terms of the options are pursuant to Hauppauge Digital's 2000 Incentive Stock Option Plan, the options became exercisable on January 21, 2002 in increments of 50% per year, the options expired two years after the date of death of the spouse (January 28,2003). The Reporting Person inherited stock options to purchase 15,400 shares at $5.25 per share, the terms of the options are pursuant to Hauppauge Digital's 1996 Non-Qualified Plan, the options became exercisable on January 21, 2001, in increments of 50% per year, the options expired on August 3, 2005. As of the date of this Schedule, the Reporting Person has no plans or proposals which relate to or would result in the acquisition or disposition of the Company's securities by any person; an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Company; a sale or transfer of a material amount of the assets of the Company; any change in the Company's present board of directors or management, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; any material change in the Company's present capitalization or dividend policy; any other material change in the Company's business or corporate structure; changes in the Company's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Company by any person; causing a class of the Company's securities to cease to be listed in an inter-dealer quotation system of a registered nat ional securities association; a class of the Company's equity securities becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934, as amended; or any action similar to those enumerated in response to this item. As to the date of this Filing, All options to purchase stock have not been exercised and have expired. This is Part 4 of Laura Jean Aupperle's Ownership Form Type 5/A /s/ Laura Jean Aupperle 2008-06-09 -----END PRIVACY-ENHANCED MESSAGE-----