UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy) | Â (2) | 03/30/2024 | Common Stock | 104,112 | $ 3.21 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Noren Per 6100 CENTER DRIVE SUITE 1020 LOS ANGELES, CA 90045 |
 |  |  EVP, Chief Commercial Officer |  |
/s/ Colleen Brooks, Attorney-in-Fact | 04/09/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 shares were granted as restricted stock units, and vest in four equal annual installments, with the first installment having vested on March 30, 2018, subject to continuous employment on each vesting date. |
(2) | These stock options vest on the following schedule: (i) with respect to one-quarter of the underlying shares, on March 30, 2018; and (ii) with respect to the remaining underlying shares, monthly on a pro rata basis during the following three years until fully vested; in each case subject to continuous employment on each vesting date. |