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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 | |
STOLPER MARK 1510 COTNER AVE. LOS ANGELES,, CA 90025 |
Executive VP and CFO |
/s/ Mark D. Stolper | 05/22/2015 | |
**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) | Shares were transferred to reporting person's ex-spouse pursuant to a divorce settlement. The reporting person no longer reports any of these transferred securities as beneficially owned. |
(2) | The original Form 4 filed on December 17, 2013 included the disposition of 18,669 shares and inadvertently omitted the disposition of an additional 52,803. As a result of the omission in the original Form 4, the effect of the disposition of the additional 52,803 shares on the reporting person's beneficial ownership was not reflected in any of the subsequent Form 4 filings through April 2015. |
(3) | Reflects the number of securities beneficially owned by the reporting person after the transaction reported on this line. |
(4) | The original Form 4 filed on January 5, 2015, only included the net number of shares acquired by the reporting person after taking into account the disposition of shares to the reporting person's ex-spouse pursuant to a divorce settlement. The reporting person initially acquired 27,425 shares in connection with employment and such shares shall vest one third on issuance and in additional one-third increments over each of the next two years. |
(5) | The original Form 4 filed on January 5, 2015, inadvertently subtracted the disposition of shares from the total acquired as reported in column 4 instead of reporting the acquisition and immediate subsequent disposition separately. |
(6) | This line is being reported to correct the total number of shares directly held by the reporting person in column 5 immediately following the activity that took place on April 15, 2015, as reported on the Form 4 filed on April 17, 2015. In addition to the omitted dispositions described in this amendment, mathematical errors were discovered in the total number of shares directly held by the reporting person. The mathematical errors resulted in an over-reporting of 55,300 shares on December 17, 2013 and the subsequent Form 4s filed through March 2014; 55,3066 shares on April 23, 2014; and 55,906 shares on January 5, 2015 and the subsequent Form 4s filed through April 2015. The Form 4 filed on May 22, 2015 correctly reported the total amount of shares directly held by the reporting person in column 5. |