|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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 2270 (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 at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
|||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HUMPHREYS STEVEN 2201 WALNUT AVENUE, SUITE #100 FREMONT, CA 94538 |
 X |  |  CEO |  |
/s/ Steven Humphreys | 07/27/2018 | |
**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) | Includes an aggregate of 201,771 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
(2) | Includes an aggregate of 195,465 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
(3) | Includes an aggregate of 189,160 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
(4) | Includes an aggregate of 182,855 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
(5) | Includes an aggregate of 176,549 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
(6) | Includes an aggregate of 170,244 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
(7) | Includes an aggregate of 163,939 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
(8) | Includes an aggregate of 157,633 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
(9) | Includes an aggregate of 151,328 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
(10) | Includes an aggregate of 145,023 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
(11) | Includes an aggregate of 138,717 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |
(12) | Includes an aggregate of 132,412 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. |