UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Incentive Stock Option (right to buy) | Â (1) | 01/27/2019 | Common Stock | 10,938 | $ 3.11 | D | Â |
Incentive Stock Option (right to buy) | Â (1) | 02/13/2019 | Common Stock | 7,813 | $ 2.8 | D | Â |
Incentive Stock Option (right to buy) | Â (1) | 05/21/2019 | Common Stock | 7,169 | $ 2.09 | D | Â |
Incentive Stock Option (right to buy) | Â (1) | 01/22/2020 | Common Stock | 25,000 | $ 2.18 | D | Â |
Incentive Stock Option (right to buy) | Â (1) | 01/20/2021 | Common Stock | 45,255 | $ 3.26 | D | Â |
Incentive Stock Option (right to buy) | Â (1) | 02/05/2023 | Common Stock | 50,625 | $ 1.21 | D | Â |
Incentive Stock Option (right to buy) | Â (1) | 01/31/2024 | Common Stock | 63,017 | $ 2.09 | D | Â |
Incentive Stock Option (right to buy) | Â (2) | 01/09/2025 | Common Stock | 76,328 | $ 0.88 | D | Â |
Incentive Stock Option (right to buy) | Â (3) | 01/28/2026 | Common Stock | 61,750 | $ 1.16 | D | Â |
Incentive Stock Option (right to buy) | Â (1) | 01/09/2027 | Common Stock | 2,464 | $ 1.31 | D | Â |
Incentive Stock Option (right to buy) | Â (4) | 01/09/2027 | Common Stock | 69,469 | $ 1.31 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (1) | 01/27/2019 | Common Stock | 24,062 | $ 3.11 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (1) | 02/13/2019 | Common Stock | 17,187 | $ 2.8 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (1) | 05/21/2019 | Common Stock | 35,831 | $ 2.09 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (1) | 01/22/2020 | Common Stock | 18,791 | $ 2.18 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (1) | 01/22/2020 | Common Stock | 55,000 | $ 2.18 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (1) | 01/20/2021 | Common Stock | 74,745 | $ 3.26 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (1) | 02/05/2023 | Common Stock | 39,375 | $ 1.21 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (1) | 02/05/2023 | Common Stock | 51,260 | $ 1.21 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (1) | 01/31/2024 | Common Stock | 26,983 | $ 2.09 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (1) | 01/31/2024 | Common Stock | 39,167 | $ 2.09 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (1) | 01/09/2025 | Common Stock | 57,808 | $ 0.88 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (1) | 01/09/2025 | Common Stock | 18,672 | $ 0.88 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (1) | 01/28/2026 | Common Stock | 43,983 | $ 1.16 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (1) | 01/28/2026 | Common Stock | 14,250 | $ 1.16 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (1) | 01/09/2027 | Common Stock | 52,306 | $ 1.31 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (1) | 01/09/2027 | Common Stock | 16,031 | $ 1.31 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (1) | 06/19/2027 | Common Stock | 10,000 | $ 1.4 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Arenberg Michael 10260 BUBB ROAD CUPERTINO, CA 95014 |
 |  |  Chief Financial Officer |  |
/s/ Michael Arenberg | 10/24/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Fully vested as of the date of this filing. |
(2) | This ISO option Grant Dated January 9, 2015 will vest as follows: 1/16 of the total shares subject to the option shall vest quarterly over 4 years following the Grant Date. |
(3) | This ISO option Grant Dated January 28, 2016 will vest as follows: 1/16 of the total shares subject to the option shall vest quarterly over 4 years following the Grant Date. |
(4) | This ISO option Grant Dated January 9, 2017 will vest as follows: 1/16 of the total shares subject to the option shall vest quarterly over 4 years following the Grant Date. |
 Remarks: Following the time the reporting person became an executive officer, but prior to the filing of this Form 3, the reporting person was granted certain stock options that were reported on Form 4 and filed on October 17, 2018. |