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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 | ||||||||
Non-Qualified Stock Option (right to buy) | $ 4.10 | 01/21/2017(3) | 01/21/2026 | Common Stock | 21,290 | 21,290 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 12.43 | 08/17/2016(3) | 08/17/2025 | Common Stock | 420,000 | 420,000 | D | ||||||||
Restricted Stock Unit (RSU) | (4) | 11/21/2016 | 11/21/2016 | M | 11,875 | 08/17/2016(3) | 08/17/2019 | Common Stock | 190,000 | (5) | 130,625 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
McGuire Jonathan Will 12744 SAN FERNANDO ROAD SUITE 400 SYLMAR, CA 91342 |
Chief Executive Officer |
/s/ Jonathan Will McGuire | 11/22/2016 | |
**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) | 11,875 shares of common stock acquired upon quarterly vesting of Restricted Stock Units (RSUs). |
(2) | 4,570 shares were sold to satisfy the tax withholding requirements on vesting of RSUs. |
(3) | Options and RSUs vest over a 4 year term, with 25% vesting on the date exercisable as set forth in this Form 4 and thereafter vesting in 12 equal quarterly installments of 6.25%. |
(4) | Each restricted stock unit represents a contingent right to receive one share of common stock of the Company. |
(5) | Not Applicable. |