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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 | ||||||||
Non-Qualified Stock Option | $ 3.4 | 12/19/2018(1) | D | 334 | (1) | 07/18/2028 | Common Stock | 334 | $ 0 | 0 (3) | D | ||||
Non-Qualified Stock Option | $ 3.4 | 12/19/2018(1) | A | 334 | (2) | 12/19/2028 | Common Stock | 334 | $ 0 | 334 (4) | D | ||||
Non-Qualified Stock Option | $ 3.4 | 12/19/2018(1) | D | 959 | (1) | 07/18/2028 | Common Stock | 959 | $ 0 | 0 (3) | D | ||||
Non-Qualified Stock Option | $ 3.4 | 12/19/2018(1) | A | 959 | (2) | 12/19/2028 | Common Stock | 959 | $ 0 | 1,293 (4) | D | ||||
Non-Qualified Stock Option | $ 3.4 | 12/19/2018(1) | D | 500 | (1) | 07/18/2028 | Common Stock | 500 | $ 0 | 0 (3) | D | ||||
Non-Qualified Stock Option | $ 3.4 | 12/19/2018(1) | A | 500 | (2) | 12/19/2028 | Common Stock | 500 | $ 0 | 1,793 (4) | D | ||||
Non-Qualified Stock Option | $ 3.4 | 12/19/2018(1) | D | 334 | (1) | 07/18/2028 | Common Stock | 334 | $ 0 | 0 (3) | D | ||||
Non-Qualified Stock Option | $ 3.4 | 12/19/2018(1) | A | 334 | (2) | 12/19/2028 | Common Stock | 334 | $ 0 | 2,127 (4) | D | ||||
Non-Qualified Stock Option | $ 3.4 | 12/19/2018(1) | D | 6,467 | (1) | 07/18/2028 | Common Stock | 6,467 | $ 0 | 0 (3) | D | ||||
Non-Qualified Stock Option | $ 3.4 | 12/19/2018(1) | A | 6,467 | (2) | 12/19/2028 | Common Stock | 6,467 | $ 0 | 8,594 (4) | D | ||||
Non-Qualified Stock Option | $ 3.4 | 12/19/2018(1) | D | 7,500 | (1) | 07/18/2028 | Common Stock | 7,500 | $ 0 | 0 (3) | D | ||||
Non-Qualified Stock Option | $ 3.4 | 12/19/2018(1) | A | 7,500 | (2) | 12/19/2028 | Common Stock | 7,500 | $ 0 | 16,094 (4) | D | ||||
Non-Qualified Stock Option | $ 3.4 | 12/19/2018(1) | D | 7,500 | (1) | 07/18/2028 | Common Stock | 7,500 | $ 0 | 0 (3) | D | ||||
Non-Qualified Stock Option | $ 3.4 | 12/19/2018(1) | A | 7,500 | (2) | 12/19/2028 | Common Stock | 7,500 | $ 0 | 23,594 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PETERSON JEFFREY N 110 WINCHESTER CT. FOSTER CITY, CA 94404 |
X |
/s/ Jeffrey N Peterson | 12/21/2018 | |
**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) | The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the old stock option granted on July 18, 2018 and the grant of a replacement stock option dated December 19, 2018, which includes the same exercise price of $3.40 and a new expiration date of December 19, 2028. |
(2) | Stock options vest 5/12th for the first month then 1/12th per month for the remaining months for a total of 12 months. |
(3) | 2015 Nonqualified Stock Option Plan. |
(4) | 2013 Equity Incentive Plan. |