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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 | ||||||||
Incentive Stock Option (Right to Buy) | $ 2.2 | 07/22/2017 | 07/01/2021 | Common Stock | 28,000 | 28,000 | D | ||||||||
Incentive Stock Option (Right to Buy) | $ 3.7 | 07/01/2015 | 07/01/2020 | Common Stock | 27,000 | 27,000 | D | ||||||||
Incentive Stock Option (Right to Buy) | $ 5.1 | 12/18/2012 | 06/18/2022 | Common Stock | 4,447 | 4,447 | D | ||||||||
Non-Qualified Stock Option (Right to Buy) | $ 5.1 | 12/18/2012 | 06/18/2022 | Common Stock | 18,887 | 18,887 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Clark Moore 4125 BLACKHAWK PLAZA CIRCLE SUIT 201 DANVILLE, CA 94506 |
Executive VP |
/s/Clark Moore | 07/11/2018 | |
**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) | Common stock of Issuer granted to Reporting Person pursuant to Issuer's 2012 Equity Incentive Plan and subject to forfeiture as follows: (i) 100% of the shares vest on January 11, 2019 subject to the Recipient being an employee of, or consultant to, the Company on such vesting date, and subject to the terms and conditions of a Restricted Stock Agreement. |
(2) | Reporting Person's holdings include: 3,334 shares, 9,352 shares, 26,250, 195,000 and 50,000 all issued pursuant to restricted stock grants with 1,140 remaining of Founders Stock. |
(3) | Represents 2,867 shares of the Issuer's common stock owned by each of Reporting Person's two minor children. |