MIGLIOZZI JOSEPH J

PrivateCIK: 1266052

MIGLIOZZI JOSEPH J exercised options at ANDREA ELECTRONICS CORP

Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.

M · 2 exercises

MIGLIOZZI JOSEPH J

Filed: 8/8/2018ACC: 0001206774-18-002344

InsiderMIGLIOZZI JOSEPH JCIK 1266052

→

IssuerANDREA ELECTRONICS CORPCIK 6494

Director

Since Aug 2018

+280K

Net shares

Net buyer

$5.6K

Total acquired

0

Open market trades

0B · 0S

4

Total transactions

280K acquired

Non-Derivative Transactions2

Common Stock

Direct

M · Option Exercise

Shares

+125K

Price / share

$0.04

Trade value

$5K

% of position

13.5%

8/6/2018

926.26K→1.05M

Common Stock

Direct

M · Option Exercise

Shares

+15K

Price / share

$0.04

Trade value

$600.00

% of position

1.4%

8/6/2018

1.05M→1.07M

Total

Net shares

+140K

Net value

$5.60K

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	8/6/2018	M · Option Exercise	+125K	$0.04	$5K	13.5%	926.26K	1.05M
Common Stock Direct	8/6/2018	M · Option Exercise	+15K	$0.04	$600.00	1.4%	1.05M	1.07M
Total			+140K		$5.60K

Derivative Transactions2

Employee Stock Option (right to buy)

Direct

M · Option Exercise

Converts to

Common Stock

125K shares

Shares

+125K

Strike price

0.04

Held after

0.00

Exercisable

—

8/6/2018

Employee Stock Option (right to buy)

Direct

M · Option Exercise

Converts to

Common Stock

15K shares

Shares

+15K

Strike price

0.04

Held after

0.00

Exercisable

—

8/6/2018

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Employee Stock Option (right to buy) Direct	Common Stock125K shares	8/6/2018	M · Option Exercise	+125K	0.04	—	0.00
Employee Stock Option (right to buy) Direct	Common Stock15K shares	8/6/2018	M · Option Exercise	+15K	0.04	—	0.00

Non-Derivative Holdings (Post-Transaction)0

No non-derivative holdings reported

Derivative Holdings (Post-Transaction)5

Employee Stock Option (right to buy)

Direct

Underlying security

Common Stock

Underlying shares

100K

Shares owned

100K

Exercise price

0.07

Expiration

—

Exercise window

—

Employee Stock Option (right to buy)

Direct

Underlying security

Common Stock

Underlying shares

225K

Shares owned

225K

Exercise price

0.05

Expiration

—

Exercise window

—

Employee Stock Option (right to buy)

Direct

Underlying security

Common Stock

Underlying shares

45.45K

Shares owned

45.45K

Exercise price

0.11

Expiration

—

Exercise window

—

Employee Stock Option (right to buy)

Direct

Underlying security

Common Stock

Underlying shares

150K

Shares owned

150K

Exercise price

0.08

Expiration

—

Exercise window

—

Employee Stock Option (right to buy)

Direct

Underlying security

Common Stock

Underlying shares

62.50K

Shares owned

62.50K

Exercise price

0.08

Expiration

—

Exercise window

—

Total

Underlying

582.96K

Owned

582.96K

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Employee Stock Option (right to buy) Direct	Common Stock	0.07	—	—	100K	100K
Employee Stock Option (right to buy) Direct	Common Stock	0.05	—	—	225K	225K
Employee Stock Option (right to buy) Direct	Common Stock	0.11	—	—	45.45K	45.45K
Employee Stock Option (right to buy) Direct	Common Stock	0.08	—	—	150K	150K
Employee Stock Option (right to buy) Direct	Common Stock	0.08	—	—	62.50K	62.50K
Total					582.96K	582.96K

MIGLIOZZI JOSEPH J — Insider Transaction (Form 4) Filed Aug 8, 2018 | Finecho