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 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 Option (right to buy) | 06/29/2012(1) | 06/29/2022 | Common Stock | 5,500 | $ 13.44 | D | |
Restricted Stock Units | (2) | 07/29/2016 | Common Stock | 2,750 | $ (3) | D | |
Restricted Stock Units | (4) | 04/30/2014 | Common Stock | 2,573 | $ (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Wyrick Susan D. 1522 217TH PLACE SE SUITE 100 BOTHELL, WA 98021 |
PAO |
Sandra Thomson as attorney-in-fact for Susan Wyrick | 02/06/2013 | |
**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) | The stock options vest monthly over 4 years commencing one month from June 29, 2012, with 100% vested on June 29, 2016. |
(2) | The restricted stock units vest 25% annually on the later of (i) each anniversary of June 29, 2012; and (ii) the first day thereafter during which the issuer's trading window is open. |
(3) | Each restricted stock unit represents a contingent right to receive one share of the issuer's Common Stock. |
(4) | The restricted stock units vest 100% on the later of (i) achievement of both the successful enrollment and release of data from certain clinical trials, and (ii) the first trading day thereafter on which the issuer's trading window is open. |