Sec Form 4 Filing - VAN SANTE YVES ROGER @ PARETEUM Corp - 2019-01-02

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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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1. Name and Address of Reporting Person
VAN SANTE YVES ROGER
2. Issuer Name and Ticker or Trading Symbol
PARETEUM Corp [ TEUM]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O PARETEUM CORP., 1185 AVENUE OF THE AMERICAS
3. Date of Earliest Transaction (MM/DD/YY)
01/02/2019
(Street)
NEW YORK, NY10036
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/02/2019 A 133,052 ( 1 ) A $ 0 ( 2 ) 458,223 ( 3 ) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Option $ 1.724 01/02/2019 A 150,000 01/01/2020( 4 ) 01/01/2025 Common Stock 150,000 $ 0 ( 5 ) 150,000 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
VAN SANTE YVES ROGER
C/O PARETEUM CORP.
1185 AVENUE OF THE AMERICAS
NEW YORK, NY10036
X
Signatures
/s/ Yves Roger Van Sante 05/17/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Represents compensation for board fees in lieu of cash with 118,284 shares issued for services rendered from the Issuer's second 2016 fiscal quarter through the Issuer's third 2017 fiscal quarter and 14,768 shares issued for services rendered from the Issuer's fourth quarter 2017 (the "Board Fees").
( 2 )The Board Fees represents compensation for the Reporting Person's service as a director of the Issuer.
( 3 )Includes a restricted stock award (the "Restricted Stock Award") of 200,000 shares of common stock under the Pareteum Corporation. 2017 Long-Term Incentive Compensation Plan, of which one-third vested on October 1, 2018 and two-thirds shall vest in 24 equal monthly installments over a two year period thereafter.
( 4 )Option is granted pursuant to the Pareteum Corp. 2018 Long-Term Incentive Compensation Plan, of which one-third shall vest on January 1, 2020 and two-thirds shall vest in 24 equal monthly installments over a two year period thereafter (the "January Option Grant").
( 5 )The January Option Grant represents a one-time award of securities as compensation for the Reporting Person's service as a director of the Issuer.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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