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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) (1) (3) | $ 27 | 02/07/2007 | 02/07/2014 | Common Stock | 0 | 60,000 | D | ||||||||
Stock Option (right to buy) (1) (3) | $ 5.9 | 02/20/2009 | 02/20/2018 | Common Stock | 0 | 2,000 | D | ||||||||
Stock Option (right to buy) (1) (3) | $ 5.97 | 08/20/2009 | 08/20/2018 | Common Stock | 0 | 2,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DECKER DWIGHT W 4000 MAC ARTHUR BLVD NEWPORT BEACH, CA 92660 |
X |
Jasmina T. Boulanger, by Power of Attorney for Dwight W. Decker | 01/04/2010 | |
**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) | Pursuant to the terms of the reporting person's employment agreement, all of reporting person's options, shares of restricted Company Common Stock and restricted stock units became fully vested on 12/31/2009. |
(2) | On August 12, 2009, the reporting person was granted a Restricted Stock Unit Award - Time Vested, for 34,000 shares. All of reporting person's restricted stock units became fully vested on 12/31/2009. The reported disposition reflects the payment of tax obligation by withholding of shares incident ot the vesting of the Award in accordance with Rule 16b-3(e). |
(3) | All of reporting person's stock options became fully exercisable on 12/31/2009. |