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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) | $ 2.36 | 10/31/2018 | M(1) | 3,500 | (4) | 02/22/2021 | Common Stock | 3,500 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 2.68 | 10/31/2018 | M(1) | 16,927 | (4) | 03/09/2022 | Common Stock | 16,927 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 2.68 | 10/31/2018 | M(1) | 19,573 | (5) | 03/09/2022 | Common Stock | 19,573 | $ 0 | 813 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hall Christopher M 6000 SHORELINE COURT SUITE 300 SOUTH SAN FRANCISCO, CA 94080 |
President and COO |
/s/ Keith Kennedy, as Attorney-in-fact | 11/01/2018 | |
**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 sale of common stock was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on May 25, 2018. |
(2) | Represents the aggregate of sales effected on the same day at different prices. |
(3) | Represents weighted average sales price. Sale prices for the transactions range from $13.00 to $13.08. Detailed information regarding the number of shares sold at each separate price will be provided to the SEC, the issuer or a shareholder upon request. |
(4) | The option became exercisable upon the grant date. |
(5) | The option becomes exercisable as to 25% of the shares on March 10, 2013, and the remaining shares vested at a rate of 1/48th of the total number of shares subject to the award for each month of continuous service thereafter. |