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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 | ||||||||
Restricted Stock Unit (RSU) | $ 28.01 | 06/30/2018 | M | 751 | (3) | 12/31/2018 | Common Stock | 751 | $ 0 | 1,503 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ferracone Robin A 201 SOUTH LAKE AVENUE SUITE 804 PASADENA, CA 91101 |
X |
/s/ Charlotte Sim-Warner as attorney-in-fact for Robin A. Ferracone | 08/21/2018 | |
**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) | The RSU converts into common stock on a one-for-one basis. |
(2) | On July 3, 2018, the reporting person mistakenly filed a duplicate Form 4 that reported the vesting of 751 shares of common stock upon vesting of restricted stock units that did not in fact occur, which resulted in clerical error in the number of shares held following the reported transaction. This amendment corrects this error. As of July 3, 2018, the reporting person owned 1,501 shares of common stock and restricted stock units to acquire 1,503 shares of common stock. |
(3) | The RSU vests and will convert into common stock of the Issuer as to 25% of the total shares on each of March 31, 2018, June 30, 2018, September 30, 2018, and December 31, 2018, subject to continued service through each vesting date. |