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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 | |
Papazian Suzy 110 W TAYLOR STREET SAN JOSE, CA 95110 |
Gen. Counsel/Corp. Secretary |
/s/ Suzy Papazian | 03/01/2019 | |
**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) | Represents an aggregate of 247 shares of common stock that were issued and transferred by the reporting person to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 in connection with the issuance of shares of common stock underlying the restricted stock units ("RSU") described in footnote 3 of the Form 4 filed on January 3, 2019. |
(2) | Represents 4,589 shares of the issuer's common stock and 3,782 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms. |
(3) | Includes an aggregate of 247 shares of common stock that were issued and transferred by the reporting person to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 in connection with the issuance of shares of common stock underlying the RSUs described in footnote 3 of the Form 4 filed on January 3, 2019. |
(4) | Represents an aggregate of 228 shares of common stock that were issued and transferred by the reporting person to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 in connection with the issuance of shares of common stock underlying the RSUs described in footnote 1 of the Form 4 filed on January 4, 2019. |
(5) | Represents 4,361 shares of the issuer's common stock and 3,782 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms. |
(6) | Includes an aggregate of 228 shares of common stock that were issued and transferred by the reporting person to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 in connection with the issuance of shares of common stock underlying the RSUs described in footnote 1 of the Form 4 filed on January 4, 2019. |
(7) | Represents an aggregate of 470 shares of common stock that were issued and transferred by the reporting person to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 in connection with the issuance of shares of common stock underlying the RSUs described in footnote 1 of the Form 4 filed on January 7, 2019. |
(8) | Represents 3,891 shares of the issuer's common stock and 3,782 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms. |
(9) | Includes an aggregate of 470 shares of common stock that were issued and transferred by the reporting person to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 in connection with the issuance of shares of common stock underlying the RSUs described in footnote 1 of the Form 4 filed on January 7, 2019. |
(10) | Represents 418 shares of common stock withheld by the issuer in satisfaction of the applicable withholding taxes on shares of common stock that became issuable pursuant to the vesting of the return on equity ("ROE") RSUs reported on the Form 4 filed on February 26, 2019. |
(11) | Represents 4,683 shares of the issuer's common stock and 2,572 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms. |
(12) | Represents an aggregate of 792 shares of common stock that were issued and transferred by the reporting person to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 in connection with the issuance of shares of common stock underlying the RSUs described in footnote 10 above. |
(13) | Represents 3,891 shares of the issuer's common stock and 2,572 shares of the issuer's common stock underlying RSUs that will vest and become issuable in accordance with their terms. |
(14) | Includes an aggregate of 792 shares of common stock that were issued and transferred by the reporting person to the John Affaki and Suzy Papazian Living Trust dated December 10, 2008 in connection with the issuance of shares of common stock underlying the RSUs described in footnote 10 above. |