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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HUMPHREYS STEVEN 2201 WALNUT AVENUE, SUITE #100 FREMONT, CA 94538 |
X | CEO |
/s/ Steven Humphreys | 07/27/2018 | |
**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) | Includes an aggregrate of 126,107 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
(2) | Includes an aggregrate of 119,801 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
(3) | Includes an aggregrate of 113,496 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
(4) | Includes an aggregrate of 107,191 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
(5) | Includes an aggregrate of 100,885 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
(6) | Includes an aggregrate of 94,580 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
(7) | Includes an aggregrate of 88,275 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |