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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 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 (Month/Day/Year) |
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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
WARRANT | $ 5 | 07/31/2012 | 07/31/2017 | COMMON STOCK | 50,548 | 50,548 | I | See Footnote (4) | |||||||
WARRANT | $ 5 | 02/23/2013 | 02/28/2018 | COMMON STOCK | 21,584 | 21,584 | I | See Footnote (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MANN ALFRED E 25134 RYE CANYON LOOP SANTA CLARITA, CA 91355 |
X | X |
/s/ Alfred E. Mann | 06/02/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | 8,198 shares are awarded to Mr. Mann for serving on the Board of the Directors of the Company and its committees. |
(2) | Amount of shares granted was calculated based on an average closing price of "EYES" stock for the preceding twenty trading days of our common stock on its principal exchange. |
(3) | As previously reported on Form 3 filed with the Commission on November 18, 2014, 5,210,775 shares are owned by Alfred E. Mann Living Trust and 5,706,284 shares are owned by Incumed, LLC. |
(4) | By Alfred E. Mann Living Trust. |