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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) | $ 3.25 | 12/13/2012 | 12/13/2022 | Common Stock | 5,000 | 5,000 | D | ||||||||
Stock option (right to buy) | $ 10.75 | 12/20/2007 | 12/20/2017 | Common Stock | 5,000 | 5,000 | D | ||||||||
Stock option (right to buy) | $ 3.45 | 11/20/2008 | 11/20/2018 | Common Stock | 5,000 | 5,000 | D | ||||||||
Convertible Debentures (right to buy) | $ 3.5 (2) | 08/09/2010 | 08/09/2010(2) | Common Stock | 263,429 | 263,429 | I | By Family Trust (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PEEPLES WILLIAM R 445 PINE AVE. GOLETA, CA 93117 |
X | X | ||
Peeples Ardyce M. 445 PINE AVE GOLETA, CA 93117 |
X |
/s/ William R. Peeples, individually and as attorney-in-fact for Ardyce M. Peeples | 02/28/2013 | |
**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 shares are held by the family trust of William and Ardyce Peeples, husband and wife, and beneficial ownership is shared between them. |
(2) | The convertible debentures are held by the family trust of William and Ardyce Peeples, husband and wife, and beneficial ownership is shared between them. The convertible debentures are convertible into 263,429 shares of Common Stock at $3.50 per share if converted on or prior to July 1, 2013, $4.50 per share between July 2, 2013 and July 1, 2016, and $6.00 per share from July 2, 2016 until maturity or redemption. The convertible debentures mature on August 9, 2020. |
Remarks: Power of Attorney filed as Exhibit 24 to Ardyce M. Peeples' Form 3 filed February 28, 2013. The Form 4 filed by William R. Peeples on the date indicated herein is hereby amended to add Mr. Peeples' wife, Ardyce M. Peeples, as an addtional reporting person. |