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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 | ||||||||
Restricted Stock Units | (1) | 09/06/2017(2) | A | 14,587 | (3) | (3) | Common Stock | 14,587 | $ 0 | 14,587 | D | ||||
Restricted Stock Units | (1) | 09/06/2017(4) | A | 12,156 (5) | (6) | (6) | Common Stock | 12,156 | $ 0 | 12,156 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lego Catherine P 198 CHAMPION COURT SAN JOSE, CA 95134 |
X |
/s/ Pamela Tondreau, attorney-in-fact | 09/07/2017 | |
**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) | Restricted stock units convert into common stock on a one-for-one basis upon vesting. |
(2) | Acquired upon the initial appointment of the Reporting Person to the Issuer's board of directors on September 6, 2017 (the "Initial Equity Grant"). |
(3) | This Initial Equity Grant to the non-employee members of the Issuer's board of directors represents a contingent right to receive Issuer common stock on a one-for-one basis upon vesting and will vest in three equal annual installments beginning on September 6, 2018. |
(4) | Acquired upon the initial appointment of the Reporting Person to the Issuer's board of directors on September 6, 2017 (the "Annual Equity Grant"). |
(5) | This Annual Equity Grant to the Reporting Person was pro-rated to a grant date value of approximately $166,667 (from $200,000) to reflect her September 6, 2017 initial appointment to the Issuer's board of directors. |
(6) | This Annual Equity Grant to the non-employee members of the Issuer's board of directors represents a contingent right to receive Issuer common stock on a one-for-one basis upon vesting and is fully vested on the day before the Issuer's next annual meeting of stockholders. |