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 |
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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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy) | 11/16/2006 | 11/16/2015 | Common Stock | 8,000 (5) | $ 11 | D | Â |
Employee Stock Option (right to buy) | 08/15/2008 | 08/15/2017 | Common Stock | 8,400 (5) | $ 9.22 | D | Â |
Employee Stock Option (right to buy) | 08/19/2010 | 08/19/2019 | Common Stock | 14,900 (5) | $ 7.48 | D | Â |
Employee Stock Option (right to buy) | 06/10/2011 | 06/10/2020 | Common Stock | 1,800 (5) | $ 6.25 | D | Â |
Employee Stock Option (right to buy) | 08/19/2011 | 08/19/2020 | Common Stock | 25,000 (5) | $ 5.93 | D | Â |
Employee Stock Option (right to buy) | 08/11/2012 | 08/17/2021 | Common Stock | 17,438 (5) | $ 2.41 | D | Â |
Employee Stock Option (right to buy) | 08/16/2013 | 08/16/2022 | Common Stock | 31,000 (6) | $ 2.32 | D | Â |
Employee Stock Option (right to buy) | 08/19/2014 | 08/19/2020 | Common Stock | 13,000 (5) | $ 5.93 | D | Â |
Employee Stock Option (right to buy) | 08/22/2014 | 08/22/2023 | Common Stock | 21,400 (7) | $ 5.89 | D | Â |
Employee Stock Option (right to buy) | 08/21/2015 | 08/20/2024 | Common Stock | 18,600 (8) | $ 7.09 | D | Â |
Employee Stock Option (right to buy) | 08/27/2016 | 08/26/2025 | Common Stock | 31,100 (9) | $ 3.91 | D | Â |
Employee Stock Option (right to buy) | 05/23/2014 | 05/23/2023 | Common Stock | 141,250 (5) | $ 6.85 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kocinsky Joseph 28903 NORTH AVENUE PAINE VALENCIA, CA 91355 |
 |  |  CTO |  |
/s/ Joseph Kocinsky | 10/14/2015 | |
**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) | Acquired pursuant to a Restricted Stock Unit Award vesting on 8/16/16. |
(2) | Acquired pursuant to a Restricted Stock Unit Award; 3350 shares vesting on 8/22/16 and 3350 shares vesting on 8/22/17. |
(3) | Acquired pursuant to a Restricted Stock Unit Award; 3100 shares vesting on 8/21/16, 3100 shares vesting on 8/21/17 and 3100 shares vesting on 8/21/18. |
(4) | 4-year vesting schedule with 1/4th of shares vesting on the first anniversary or 5/27/16 and thereafter 1/4th annually. |
(5) | Fully vested as of filing. |
(6) | 25833 shares fully vested at time of filing; 5167 shares vesting on 8/16/16. |
(7) | 12483 shares fully vested at time of filing; 5350 shares vesting on 8/22/16 and 3567 shares vesting on 8/22/17. |
(8) | 6199 shares fully vested at time of filing; 4650 shares vesting by 8/21/16, 4650 shares by 8/21/17 and 3101 shares vesting by 8/21/18. |
(9) | 4-year vesting schedule with 1/4th of shares vesting on the first anniversary of the vesting determination date and thereafter 1/48th monthly. |