Statement of Changes in Beneficial Ownership (4)
20 Février 2013 - 11:28PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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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
*
Kennedy Jeffrey P
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2. Issuer Name
and
Ticker or Trading Symbol
XENONICS HOLDINGS, INC.
[
XNNH
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President/COO
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(Last)
(First)
(Middle)
3186 LIONSHEAD AVE.
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/18/2013
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(Street)
CARLSBAD, CA 92010
(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)
_
X
_ Form filed by One Reporting Person
___ 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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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Common Stock (right to buy)
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$0.875
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2/18/2013
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D
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150000
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7/29/2003
(1)
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7/26/2013
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Common Stock
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150000
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(2)
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0
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D
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Common Stock (right to buy)
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$0.65
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2/18/2013
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D
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125000
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3/24/2009
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3/23/2014
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Common Stock
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125000
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(2)
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0
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D
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Common Stock (right to buy)
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$0.18
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2/18/2013
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A
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500000
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2/18/2013
(3)
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2/17/2018
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Common Stock
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500000
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(2)
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500000
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D
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Explanation of Responses:
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(
1)
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The Option vested in three equal annual installmens beginning July 29, 2003.
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(
2)
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The reporting person agreed to cancellation of an option granted to him on July 29, 2003 in the amount of 150,000 shares and an option granted to him on March 24, 2009 in the amount of 125,000 shares.
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(
3)
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The Option is performance based and vests in the event (i) the Company reports Income from Operations for the fiscal year ended September 30, 2013 before any non-cash charge for these replacement and new stock options. The new and replacement grants will be for five years at $0.18 per share and (ii) the optionee remains an officer or director by the Company on September 30, 2013.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Kennedy Jeffrey P
3186 LIONSHEAD AVE.
CARLSBAD, CA 92010
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X
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President/COO
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Signatures
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/s/ Jeffrey P. Kennedy
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2/20/2013
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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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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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.
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