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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 Option (right to buy Class A Common Stock) | $ 10.5 | 01/02/2015 | M | 4,688 | (3) | 11/01/2022 | Class A Common Stock | 4,688 | $ 0 | 34,375 | D | ||||
Stock Option (right to buy Class A Common Stock) | $ 16.34 | 01/05/2015 | M | 4,687 | (4) | 04/03/2023 | Class A Common Stock | 4,687 | $ 0 | 42,188 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Archer Kuan 3465 EAST FOOTHILL BOULEVARD PASADENA, CA 91107 |
Chief Operating Officer |
/s/ Lina Davidian as attorney-in-fact for Kuan Archer | 01/06/2015 | |
**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) | Represents shares of Class A Common Stock underlying a restricted stock unit award that vests as to 1/4 of the shares on each of January 2, 2016, 2017, 2018 and 2019, subject to the reporting person's provision of services to the issuer on each vesting date. |
(2) | The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 4, 2014. |
(3) | Options vest as to 1/4 of the shares on November 1, 2013 and then 1/48th monthly thereafter, subject to the reporting person's provision of services to the issuer on each vesting date. |
(4) | Options vest as to 1/4 of the shares on April 3, 2014 and then 1/48th monthly thereafter, subject to the reporting person's provision of services to the issuer on each vesting date. |