1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Options to Acquire Common Stock, $0.01 par value per share
|
01/31/2012(1)
|
12/19/2021 |
Common Stock, $0.01 par value per share
|
50,000
|
$
4.89
|
D
(2)
(3)
(4)
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
Option grant under the Mattersight Corporation 1999 Stock Incentive Plan. The options vest over a 48 month period; the first option vesting date is January 31, 2012. |
(2) |
The Reporting Person is a senior executive employee of an affiliate of an entity, Investor Growth Capital, LLC ("Investor LLC"), that separately reports its holdings with respect to the securities of Mattersight Corporation, a Delaware corporation (the "Company"), pursuant to Section 13 and Section 16 of the Securities Exchange Act of 1934 (the "Act"). As of the date of the filing of this Form 3/A, Investor LLC holds 2,364,209 common shares, $0.01 par value per share, of the Company. |
(3) |
The Reporting Person's interest in all of the Company's securities is limited to the extent of his pecuniary interest in such securities, if any, and neither the filing of this statement nor any of its contents shall be deemed to constitute an admission by the Reporting Person or any other person/entity that he/she or it was or is the beneficial owner of any of the Company's securities for purposes of Section 16 of the Act, or for any other purpose. |
(4) |
This amendment to the Form 3 has been filed solely to amend and restate footnote (2). |