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 |
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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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option (1) | (1) | 01/01/2015 | Common Stock | 6,213 | $ 4.75 | D | |
Option (2) | (2) | 09/01/2015 | Common Stock | 10,000 | $ 4.75 | D | |
Option (3) | (3) | 01/01/2016 | Common Stock | 2,385 | $ 4.75 | D | |
Option (4) | (4) | 05/01/2016 | Common Stock | 3,104 | $ 5 | D | |
Option (5) | (5) | 01/01/2017 | Common Stock | 4,900 | $ 5 | D | |
Option (6) | (6) | 05/01/2017 | Common Stock | 5,000 | $ 5 | D | |
Option (7) | (7) | 03/01/2008 | Common Stock | 4,800 | $ 5 | D | |
Option (8) | (8) | 11/01/2018 | Common Stock | 30,000 | $ 5 | D | |
Option (9) | (9) | 02/01/2019 | Common Stock | 5,250 | $ 5 | D | |
Option (10) | (10) | 02/01/2020 | Common Stock | 10,125 | $ 5 | D | |
Option (11) | (11) | 02/01/2020 | Common Stock | 10,625 | $ 5 | D | |
Option (12) | (12) | 12/01/2020 | Common Stock | 4,000 | $ 5 | D | |
Option (13) | (13) | 03/01/2021 | Common Stock | 4,987 | $ 5 | D | |
Option (14) | (14) | 03/01/2022 | Common Stock | 3,100 | $ 5 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mech Brian Vernon 12744 SAN FERNANDO ROAD, BLDG. 3 SYLMAR, CA 91342 |
VP of Business Development |
/s/ Brian Mech | 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) | 1,553.25 options vested on each January 1, 2006, January 1, 2007, January 1, 2008 and January 1, 2009. |
(2) | 2,500 options vested on each September 1, 2006, September 1, 2007, September 1, 2008 and September 1, 2009. |
(3) | 596.25 options vested on January 1, 2007, January 1, 2008, January 1, 2009 and January 1, 2010. |
(4) | 776 options vested on each May 1, 2007, May 1, 2008, May 1, 2009 and May 1, 2010. |
(5) | 980 options vested on each January 1, 2008, January 1, 2009, January 1, 2010, January 1, 2011and January 1, 2012. |
(6) | 1,000 options vested on each May 1, 2008, May 1, 2009, May 1, 2010, May 1, 2011 and May 1, 2012. |
(7) | 960 options vested on each March 1, 2009, March 1, 2010, March 1, 2011, March 1, 2012 and March 1, 2013. |
(8) | 7,500 options vested on each November 1, 2009, November 1, 2010, November 1, 2011 and November 1, 2012. |
(9) | 1,050 options vested on each February 1, 2010, February 1, 2011, February 1, 2012, February 1, 2013 and February 1, 2014. |
(10) | 2,531.25 options vested on each February 1, 2011, February 1, 2012, February 1, 2013 and February 1, 2014. |
(11) | 2,656.25 options vested on each February 1, 2011, February 1, 2012, February 1, 2013 and February 1, 2014. |
(12) | 1,000 options vested on each December 1, 2011, December 1, 2012, December 1, 2012. 1,000 options will vest on December 1, 2014. |
(13) | 1,662.6 options vested on each March 1, 2012, March 1, 2013 and March 1, 2014. |
(14) | 1,550 options vested on each March 1, 2013 and March 1, 2014. |
Remarks: Excludes unvested options, and shares underlying unvested options of 84,459 shares, not vested and not exercisable for over 60 days from this date. |