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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Auman Jan K 3475 EAST FOOTHILL BOULEVARD PASADENA, CA 91107 |
 |  |  SVP |  |
JANIS B. SALIN FOR JAN K. AUMAN | 11/15/2017 | |
**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) | Includes 5,000 restricted stock units (RSUs) outstanding. The RSUs will entitle the Reporting Person to receive one share of common stock per RSU, pursuant to the terms and conditions of the respective award agreement. 1,500 RSUs vested and were deferred until January 1, 2021 pursuant to a non-qualified deferred compensation plan. 1,500 RSUs will vest on November 18, 2017, 250 RSUs will vest on November 20, 2017, 375 RSUs will vest on November 21, 2017, 500 RSUs will vest on November 22, 2017 and be deferred until January 1, 2021 pursuant to a non-qualified deferred compensation plan, 375 RSUs will vest on November 18, 2018, 250 RSUs will vest on November 20, 2018, 375 RSUs will vest on November 21, 2018, 375 RSUs will vest on November 18, 2019, 112 RSUs will vest on November 20, 2019, and 375 RSUs will vest on November 18, 2020. |