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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 | ||||||||
Stock Options (Right to buy common stock) | $ 3.67 | (1) | 05/18/2014 | Common Stock | 100,000 | 100,000 | D | ||||||||
Stock Options (Right to buy common stock) | $ 8.125 | (1) | 10/03/2010 | Common Stock | 30,000 | 30,000 | D | ||||||||
Stock Option (Right to buy common stock) | $ 2.74 | (1) | 05/02/2011 | Common Stock | 10,000 | 10,000 | D | ||||||||
Stock Option (Right to buy Common Stock) | $ 12.39 | 05/28/2008 | A | 30,000 | (3) | 05/27/2018 | Common Stock | 30,000 | $ 0 | 30,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BALL F MICHEAL 3001 DAIMLER STREET SANTA ANA, CA 92705-5812 |
X |
/s/ F. Michael Ball | 05/29/2008 | |
**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) | These options are fully vested and immediately exercisable. |
(2) | Includes 2,000 restricted stock units ("RSUs") that will entitle the reporting person to receive one share of common stock per RSU. The RSUs will vest, and the underlying shares will be concurrently issued, upon the reporting person's completion of service on the issuer's board of directors over the one year period measured from the 6/4/2007 grant date. |
(3) | This option shall vest and become exercisable in four equal annual installments commencing on May 28, 2009. |