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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 | ||||||||
Employee Stock Option (right to buy) | $ 1.95 | 02/19/2019 | M | 40,534 | (6) | 06/15/2021 | Common Stock | 40,534 | $ 0 | 195,499 | D | ||||
Employee Stock Option (right to buy) | $ 1.95 | 02/20/2019 | M | 4,765 | (6) | 06/15/2021 | Common Stock | 4,765 | $ 0 | 190,734 | D | ||||
Employee Stock Option (right to buy) | $ 1.95 | 02/21/2019 | M | 4,104 | (6) | 06/15/2021 | Common Stock | 4,104 | $ 0 | 186,630 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Fenster Edward Harris 595 MARKET STREET, 29TH FLOOR SAN FRANCISCO, CA 94105 |
X | Chairman |
/s/ Jay Maloney, Attorney-in-Fact | 02/21/2019 | |
**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) | Shares gifted to a 501(c)(3) charity pursuant to a Rule 10b5-1 trading plan. |
(2) | The sales reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan. |
(3) | Price represents the weighted average sale price of the shares sold. The sale price ranged from $15.50 to $15.54 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. |
(4) | Price represents the weighted average sale price of the shares sold. The sale price ranged from $15.51 to $15.735 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. |
(5) | Price represents the weighted average sale price of the shares sold. The sale price ranged from $15.50 to $15.51 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. |
(6) | The shares subject to the option are fully vested and exercisable. |