UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
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 | ||||
Option (1) | (1) | 08/01/2017 | Common Stock | 50,000 | $ 5 | D | |
Option (2) | (2) | 02/01/2018 | Common Stock | 2,290 | $ 5 | D | |
Option (3) | (3) | 11/01/2018 | Common Stock | 25,000 | $ 5 | D | |
Option (4) | (4) | 02/01/2019 | Common Stock | 6,750 | $ 5 | D | |
Option (5) | (5) | 02/01/2020 | Common Stock | 10,125 | $ 5 | D | |
Option (6) | (6) | 02/01/2020 | Common Stock | 10,625 | $ 5 | D | |
Option (7) | (7) | 03/01/2021 | Common Stock | 6,235 | $ 5 | D | |
Option (8) | (8) | 03/01/2022 | Common Stock | 3,875 | $ 5 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Randolph Edward David 12744 SAN FERNANDO ROAD, BLDG. 3 SYLMAR, CA 91342 |
VP of Manufacturing |
/s/ Edward Randolph | 11/18/2014 | |
**Signature of Reporting Person | Date |
* | 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) | 12,500 options vested on each August 1, 2008, August 1, 2009, August 1, 2010 and August 1, 2011. |
(2) | 572.5 options vested on each on each February 1, 2009, February 1, 2010, February 1, 2011 and February 1, 2012. |
(3) | 6,250 options vested on each November 1, 2009, November 1, 2010, November 1, 2011 and November 1, 2012. |
(4) | 1,687.50 options vested on each February 1, 2010, February 1, 2011, February 1, 2012 and February 1, 2013. |
(5) | 2,531.25 options vested on each February 1, 2011, February 1, 2012, February 1, 2013 and February 1, 2014. |
(6) | 2,656.25 options vested on each February 1, 2011, February 1, 2012, February 1, 2013 and February 1, 2014. |
(7) | 2,078.25 options vested on each March 1, 2012, March 1, 2013 and March 1 2014. |
(8) | 1,937.50 options vested on each March 1, 2013 and March 1 2014. |
Remarks: Excludes unvested options, and shares underlying unvested options of 82,785 shares, not vested and not exercisable for over 60 days from this date. |