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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 Options | $ 2 | 05/18/2011 | C | 20,000 | 09/21/2009 | 09/21/2012 | Common Stock, par value $0.001 | 20,000 | $ 0 | 385,000 (6) | D | ||||
Stock Options | $ 4.5 | 05/18/2011 | C | 833 | 02/12/2011 | 02/12/2015 | Common Stock, par value $0.001 | 833 | $ 0 | 384,167 | I (2) | See footnote 2 (2) | |||
Stock Options | $ 4 | 05/18/2011 | C | 833 | 09/28/2010 | 09/28/2014 | Common Stock, par value $0.001 | 833 | $ 0 | 383,334 | I (3) | See footnote 3 (3) | |||
Stock Options | $ 2 | 05/19/2011 | C | 1,100 | 09/21/2009 | 09/21/2012 | Common Stock, par value $0.001 | 1,100 | $ 0 | 382,234 | D | ||||
Stock Options | $ 2 | 05/20/2011 | C | 700 | 09/21/2009 | 09/21/2012 | Common Stock, par value $0.001 | 700 | $ 0 | 381,534 | D | ||||
Stock Options | $ 2 | 05/20/2011 | C | 3,200 | 09/21/2009 | 09/21/2012 | Common Stock, par value $0.001 | 3,200 | $ 0 | 378,334 | D | ||||
Stock Options | $ 2 | 05/20/2011 | C | 3,515 | 09/21/2010 | 09/21/2012 | Common Stock, par value $0.001 | 3,515 | $ 0 | 374,819 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Katz Andrew S 11 WEST 19TH STREET 10TH FLOOR NEW YORK, NY 10011 |
CHIEF TECHNOLOGY OFFICER |
Andrew Katz | 10/24/2011 | |
**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) | Includes 12,306 shares which are subject to certain vesting restrictions |
(2) | The reporting person has a pecuniary interest in the 833 shares acquired by Julie Locke as a result Ms. Locke's exercise of options . Ms. Locke shares the same household as the reporting person. |
(3) | The reporting person has a pecuniary interest in the 833 shares acquired by Julie Locke as a result of Ms. Locke's exercise of options. Ms. Locke shares the same household as the reporting person. |
(4) | The reporting person has a pecuniary interest in the 319 shares held by Julie Locke, who shares the same household as the reporting person. |
(5) | The reporting person has a pecuniary interest in 1,347 shares held by Julie Locke, who shares the same household as the reporting person. |
(6) | Includes options held by Julie Locke, who shares the same household as the reporting person. |
(7) | Represents a grant of common stock, which will vest in equal portions annually over a period of three years. |