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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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SMITH LONNIE M 1266 KIFER ROAD SUNNYVALE, CA 94086 |
X | Chairman of the Board |
/s/ Lonnie Smith | 07/25/2011 | |
**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) | Previous filings made by the reporting person included indirect shares contributed to grantor retained annuity trusts as directly owned shares. This filing correctly reports the number of shares directly owned by the reporting person. The total number of shares beneficially owned is as of the date of this filing and not as of the transaction date in Box 3. |
(2) | Shares were distributed by GRAT No. 3 to the reporting person. |
(3) | Shares were distributed by GRAT No. 4 to the reporting person. |
(4) | The reporting person transferred the shares to McKram Investors LP. Lonnie Smith and Cheryl Smith are General Partners of McKram Investors LP. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
(5) | Shares were distributed by a grantor retained annuity trust #2 ("GRAT No. 2"} to the reporting person. |
(6) | The reporting person contributed shares to a grantor retained annuity trust No. 3 ("GRAT No. 3"). The sole trustee of GRAT No. 3 is The Trust Company of Oxford. |
(7) | The reporting person contributed shares to a grantor retained annuity trust No. 4 ("GRAT No. 4"). The sole trustee of GRAT No. 4 is The Trust Company of Oxford. |
(8) | Previous filings made by the reporting person included indirect shares held by grantor retained annuity trusts as directly owned shares. This filing correctly reports the shares held by the grantor retained annuitytrusts as indirectly owned shares. The total number of shares beneficially owned is as of the date of this filing and not as of the transaction date in Box 3. |
(9) | Shares are held by McKram Investors LP. Lonnie Smith and Cheryl Smith are General Partners of McKram Investors LP. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |