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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) | $ 1.97 | 01/03/2017 | A | 181,980 (2) | 01/03/2018(3) | 01/03/2027 | Common Stock | 181,980 | (5) | 181,980 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 4.1 | 01/21/2017(3) | 01/21/2026 | Common Stock | 38,225 | 38,225 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 7 | 08/01/2015(4) | 08/01/2024 | Common Stock | 175,000 | 175,000 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 13.09 | 03/25/2016(4) | 03/25/2025 | Common Stock | 12,907 | 12,907 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MILLER THOMAS B 12744 SAN FERNANDO ROAD SUITE 400 SYLMAR, CA 91342 |
Chief Financial Officer |
Thomas B. Miller | 01/05/2017 | |
**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) | 10,919 shares acquired as part of scheduled ESPP purchases. |
(2) | Options to purchase 181,980 shares of the Company's common stock were granted to Mr. Miller under the Company's 2011 Equity Incentive Plan. |
(3) | Options vest over a four year term of which one-fourth vests on the Date Exercisable, with the remaining options vesting quarterly over three years thereafter. |
(4) | Options vest in 4 yearly increments starting with the Date Exercisable |
(5) | Not Applicable |