UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy) | Â (2) | 11/05/2023 | Common Stock | 17,000 | $ 11.59 | D | Â |
Stock Option (Right to Buy) | Â (3) | 02/19/2025 | Common Stock | 17,000 | $ 13.17 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ek John Frederick 5964 LA PLACE COURT CARLSBAD, CA 92008 |
 |  |  Chief Financial Officer |  |
/s/ Eric Stier, Attorney-in-fact | 02/21/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | The amount reported reflects common stock held by the Reporting Person as well as restricted stock units granted to a Reporting Person pursuant to the Issuer's 2010 Equity Incentive Plan. Of the reported amount, (a) 60,282 shares represent restricted stock units that vest 25% on the first anniversary of the grant date and the remaining shares subject to each award vest in 12 equal quarterly installments thereafter, and (b) 5,000 shares represent restricted stock units that vest in full on August 1, 2019. |
(2) | The stock option was granted on November 5, 2013 and vests as follows: 25% of the stock option vests on the first anniversary of the grant date with the remaining shares vesting in equal monthly installments thereafter over the following three years. |
(3) | The stock option was granted on February 19, 2015 and vests as follows: 25% of the stock option vests on the first anniversary of the grant date with the remaining shares vesting in equal monthly installments thereafter over the following three years. |