Initial Statement of Beneficial Ownership (3)
27 March 2020 - 7:15AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Tu Denny |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/16/2020
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3. Issuer Name and Ticker or Trading Symbol
IMAX CORP [IMAX]
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(Last)
(First)
(Middle)
12582 WEST MILLENNIUM DRIVE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Marketing Officer / |
(Street)
PLAYA VISTA, CA 90094
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
common shares (opening balance) | 2418 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 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 |
stock options (to buy) opening balance | (2) | 3/7/2025 | common shares | 3252 | $20.85 | D | |
stock options (to buy) opening balance | (3) | 3/7/2026 | common shares | 7072 | $22.49 | D | |
restricted share units opening balance (4) | (5) | (5) | common shares | 2967 | $0.00 (6) | D | |
restricted share units opening balance (4) | (7) | (7) | common shares | 6670 | $0.00 (6) | D | |
restricted share units opening balance (4) | (8) | (8) | common shares | 12634 | $0.00 (6) | D | |
Explanation of Responses: |
(1) | Mr. Tu became an insider of IMAX Corporation on March 16, 2020. |
(2) | 1,479 of the stock options will become exercisable on March 7, 2021 and 1,773 on March 7, 2022. |
(3) | 2,210 of the stock options will become exercisable on each of March 7, 2021 and March 7, 2022 and 2,652 on March 7, 2023. |
(4) | Each restricted share unit represents a contingent right to receive one common share of IMAX Corporation. |
(5) | 1,349 of the restricted share units will vest and be converted to common shares on March 7, 2021 and 1,618 on December 1, 2021. |
(6) | Each restricted share unit is the economic equivalent of one common share of IMAX Corporation. |
(7) | 2,084 of the restricted share units will vest and be converted to common shares on each of March 7, 2021 and March 7, 2022 and 2,502 on December 1, 2022. |
(8) | The restricted share units vest and will be converted to common shares in three installments: 4,211 on each of March 7, 2021 and March 7, 2022 and 4,212 on March 7, 2023. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Tu Denny 12582 WEST MILLENNIUM DRIVE PLAYA VISTA, CA 90094 |
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| Chief Marketing Officer |
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Signatures
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/s/ Denny Tu | | 3/25/2020 |
**Signature of Reporting Person | Date |
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