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 | ||||
Stock Options (Right to Buy) | Â (2) | 08/02/2023 | Common Stock | 113,333 | $ 4.14 | D | Â |
Stock Options (Right to Buy) | Â (3) | 06/07/2023 | Common Stock | 232,500 | $ 3.94 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Paulson Michael 10901 STONELAKE BLVD. AUSTIN, TX 78759 |
 |  |  EVP, Product |  |
/s/ Kin Gill (as attorney-in-fact for Mr. Paulson) Power of Attorney attached | 09/07/2016 | |
**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) | Represents 42,509 unrestricted shares and 211,625 restricted stock units. |
(2) | 1/2 of the shares of Common Stock subject to the Option shall vest on 8/2/2017 and the remaining 1/2 of the total number of shares of Common Stock subject to the Option shall vest on 8/2/2018. |
(3) | 1/4th of the shares subject to the option vest and become exercisable on June 7, 2017, and 1/48th of the shares subject to the option vest and become exercisable on the corresponding day of each month thereafter. |