Statement of Changes in Beneficial Ownership (4)
March 03 2021 - 2:52PM
Edgar (US Regulatory)
FORM 4
[X]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
Bruk Steven |
2. Issuer Name and Ticker or Trading Symbol
COUNTERPATH CORP
[
CPAH
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
3230 MATHERS AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/1/2021 |
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(Street)
WEST VANCOUVER, A1 V7V 2K5
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Shares | | | | | | | | 58647 | D | |
| Common Shares | 3/1/2021 | | J(4) | | 58647 | D | $3.49 | 0 | D | |
| Common Shares | | | | | | | | 115800 | I | Karen Bruk (1) |
| Common Shares | 3/1/2021 | | J(4) | | 115800 | D | $3.49 | 0 | I | Karen Bruk (1) |
| Common Shares | | | | | | | | 1188404 | I | KMB Trac Two Holdings Ltd. (2) |
| Common Shares | 3/1/2021 | | J(4) | | 1188404 | D | $3.49 | 0 | I | KMB Trac Two Holdings Ltd. (2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Deferred Shre Units | (3) | | | | | | | 10/12/2017 (3) | (3) | Common | 6746 | | 6746 | D | |
| Deferred Share Units | (3) | | | | | | | 7/26/2018 | (3) | Common | 6088 | | 12834 | D | |
| Deferred Share Units | (3) | | | | | | | 11/4/2019 | (3) | Common | 10008 | | 22842 | D | |
| Deferred Share Units | (3) | 3/1/2021 | | J (4) | | | 22842.0 | (3) | (3) | Common | 22842.0 | (3) | 0 | D | |
| Explanation of Responses: |
| (1) | Karen Bruk is the spouse of Steven Bruk. |
| (2) | Karen Bruk is also the sole shareholder of KMB Trac Two Holdings Ltd. ("KMB"). Steven Bruk and Karen Bruk exercise shared investment power over the shares of common stock held by Karen Bruk and KMB. |
| (3) | Each deferred share unit is convertible into one common share of CounterPath Corporation at no additional cost. There is no expiry date. Deferred share units vest immediately. |
| (4) | In connection with a merger with a subsidiary of Alianza, Inc., the common shares were acquired for $3.49 per common share and the deferred share units were cancelled in exchange for $3.49 per deferred share unit. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Bruk Steven
3230 MATHERS AVENUE
WEST VANCOUVER, A1 V7V 2K5 | X | X |
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Bruk Karen
3230 MATHERS AVENUE
WEST VANCOUVER, A1 V7V 2K5 |
| X |
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Signatures
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| /s/ Steven Bruk | | 3/3/2021 |
| **Signature of Reporting Person | Date |
| /s/ Karen Bruk | | 3/3/2021 |
| **Signature of Reporting Person | Date |
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