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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 | $ 14.688 | 01/01/2001(4) | 01/16/2010 | Common stock | 50,000 | 50,000 | D | ||||||||
Stock option | $ 3.75 | 01/01/2002(4) | 03/28/2011 | Common stock | 150,000 | 200,000 | D | ||||||||
Stock option | $ 3.75 | 11/01/2001(4) | 03/28/2011 | Common stock | 100,000 | 300,000 | D | ||||||||
Stock option | $ 0.74 | 04/17/2001(2) | 04/17/2011 | Common stock | 12,828 | 312,828 | D | ||||||||
Stock option | $ 1.25 | 10/01/2001(4) | 09/21/2011 | Common stock | 37,000 | 349,828 | D | ||||||||
Stock option | $ 1.25 | 01/01/2003(4) | 01/01/2012 | Common stock | 63,000 | 412,828 | D | ||||||||
Stock option | $ 0.31 | 09/21/2001 | 09/21/2011 | Common stock | 106,383 | 519,211 | D | ||||||||
Stock option | $ 1.15 | 07/01/2003(4) | 06/25/2012 | Common stock | 275,000 | 794,211 | D | ||||||||
Stock option | $ 0.5 | 02/13/2004(4) | 02/13/2013 | Common stock | 125,000 | 919,211 | D | ||||||||
Stock option | $ 2.28 | 12/11/2004(3) | 12/11/2013 | Common stock | 300,000 | 1,219,211 | D | ||||||||
Warrant | $ 1.98 | 01/07/2002 | 12/31/2011 | Common stock | 50,500 | 1,269,711 | D | ||||||||
Stock Option | $ 6.31 | 12/15/2004 | A | 400,000 | 12/15/2006(5) | 12/15/2012 | Common Stock | 400,000 | $ 6.31 | 1,669,711 | D | ||||
Stock Option | $ 1.15 | 12/29/2004 | M | 13,500 | 07/01/2003(4) | 06/25/2012 | Common Stock | 13,500 | $ 1.15 | 1,656,211 | D | ||||
Stock optoin | $ 1.15 | 01/18/2005 | M | 18,459 | 07/01/2003(4) | 06/25/2012 | Common stock | 18,459 | $ 1.15 | 1,637,752 | D | ||||
Warrant | $ 1.98 | 11/23/2005 | X | 50,500 (6) | 01/07/2002 | 12/31/2011 | Common Stock | 50,500 (6) | $ 1.98 | 1,587,252 | D | ||||
Stock Option | $ 0.5 | 12/14/2005 | M | 17,857 | 02/13/2004(4) | 02/13/2013 | Common Stock | 17,857 | $ 0.5 | 1,569,395 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MCDONALD JOHN T 1120 S. CAP. OF TX HWY. SUITE 220, BLDG. 3 AUSTIN, TX 78746 |
X | CEO |
John T. McDonald | 01/12/2006 | |
**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) | Excludes 261,642 shares owned by Mr. McDonald, but held indirectly through Beekman Ventures, Inc. (Beekman Ventures, Inc. is 100% owned by John T. McDonald.) |
(2) | 1/3 of the option grant is exercisable on 04/17/2001 and the remainder is exercisable ratably over the subsequent 2 quarters. |
(3) | 1/4 of the option grant is exercisable on Date Exercisable in the table above and the remainder is exercisable ratably over the subsequent 12 quarters. |
(4) | 1/3 of the option grant is exercisable on Date Exercisable in the table above and the remainder is exercisable ratably over the subsequent 8 quarters. |
(5) | This option grant becomes exercisable over 7 years. |
(6) | This warrant was exercised under the cashless exercise provisions of the warrant: calculated as (i)the number of warrant shares to be exercised less (ii)the number of warrant shares equal to the quotient obtained by dividing (A)the product of the total number of warrant shares and the existing exercise price by (B)the current market value of a share of common stock defined as the last reported sale price on the last business day prior to the date of exercise. |
(7) | Shares sold pursuant to Rule 10b5-1 Trading Plan, adopted by the reporting person on December 7, 2005. |
(8) | Represents gift of shares to Ballet Austin. |