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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 | ||||||||
Option | $ 4.75 | 06/04/2015 | M | 4,371 | (3) | 09/01/2015 | Common Stock | 4,371 | $ 0 | 0 | D | ||||
Option | $ 4.75 | (3) | 01/01/2016 | Common Stock | 2,500 | 2,500 | D | ||||||||
Option | $ 5 | (3) | 01/01/2017 | Common Stock | 6,125 | 6,125 | D | ||||||||
Option | $ 5 | (3) | 04/01/2018 | Common Stock | 4,750 | 4,750 | D | ||||||||
Option | $ 5 | (3) | 11/01/2018 | Common Stock | 25,000 | 25,000 | D | ||||||||
Option | $ 5 | (3) | 02/01/2019 | Common Stock | 6,750 | 6,750 | D | ||||||||
Option | $ 5 | (3) | 02/01/2020 | Common Stock | 10,125 | 10,125 | D | ||||||||
Option | $ 5 | (3) | 02/01/2020 | Common Stock | 10,625 | 10,625 | D | ||||||||
Option | $ 5 | (3) | 03/01/2021 | Common Stock | 8,313 | 8,313 | D | ||||||||
Option | $ 5 | (3) | 03/01/2022 | Common Stock | 5,813 | 5,813 | D | ||||||||
Option | $ 5 | (3) | 04/01/2024 | Common Stock | 3,125 | 3,125 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ripley Anne-Marie Juliette 12744 SAN FERNANDO ROAD, BLDG. 3 SYLMAR, CA 91342 |
VP Regulatory Affairs |
/s/ Anne-Marie Ripley | 06/08/2015 | |
**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) | Ms. Ripley exercised 4,371 vested options (which expire on September 1, 2015) reported as Option(1) on Form 3 filed with the SEC on November 18, 2014. |
(2) | These transactions were effected pursuant to planned sales under lock-up agreement entered into at the time of EYES IPO in November 2014, as approved by Board of EYES and the IPO underwriter and as further disclosed in the Company's prospectus dated November 20, 2014. |
(3) | These are vested employee options currently exercisable. |
Remarks: Excludes employee options, covering 89,781 shares, not exercisable for over 60 days from this date. Sales reported in this Form 4 constitute the final trades contemplated upon expiration of the six month lock-up noted in footnote 2 above, with the Reporting Person's share sales after this date remaining subject to a 12 month lock-up that commenced from the IPO date. |