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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants (Right to Buy) | $ 3.04 | 08/09/2005 | P | 264,000 (4) | 02/09/2006 | 08/09/2010 | Common Stock | 264,000 | $ 0 | 264,000 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HAYWOOD GEORGE WEAVER C/O CRONIN AND VRIS, LLP 380 MADISON AVENUE NEW YORK, NY 10017 |
X |
/s/George W. Haywood | 02/16/2006 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | This Amendment corrects a computational error in the number of direct shares owned and previously reported. |
(2) | Includes 320,000 shares the issuance of which is subject to shareholder approval in accordance with NASDAQ rules and pursuant to an agreement between ZIX Corporation and various investors (including Mr. Haywood) entered into in connection with a private placement which closed on August 9, 2005. In the event that shareholders do not approve the issuance of the securities, funds for the purchase price, which are being held in escrow, will be returned to investors, includiing Mr. Haywood. |
(3) | These shares were previously held jointly by Mr. Haywood and his mother. Mr. Haywood has gifted his ownership interest in the shares to the estate of his mother. Mr. Haywood, as executor, has voting and dispositive power over these shares. |
(4) | Includes 105,600 shares underlying warrants, the issuance of which is subject to shareholder approval in the same manner as described in Note 2 above. |