|
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 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Unit (RSU) | (3) | 05/20/2015 | M | 5,000 | 05/20/2015 | (4) | Common Stock | 5,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 1.89 | 05/21/2015 | A | 5,000 | (5) | 05/21/2025 | Common Stock | 5,000 | $ 0 | 5,000 | D | ||||
Restricted Stock Unit (RSU) | (3) | 05/21/2015 | A | 5,000 | (6) | (4) | Common Stock | 5,000 | $ 0 | 5,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GOLDSTEIN JACK 19820 NORTH CREEK PARKWAY SUITE 201 BOTHELL, WA 98011 |
X |
Sandra Thomson as attorney-in-fact for Jack Goldstein | 05/22/2015 | |
**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) | Represents shares of common stock acquired upon settlement of the restricted stock units ("RSUs") listed in Table II. |
(2) | RSUs convert into common stock on a one-for-one basis. |
(3) | Each RSU represents a contingent right to receive one share of the issuer's common stock. |
(4) | The RSUs expire 30 days from the date they vest. |
(5) | The options vest 100% on the earlier of May 21, 2016 or the date immediately prior to the issuer's next annual meeting of stockholders. |
(6) | The RSUs vest 100% on the earlier of the first anniversary of the grant date or the date immediately prior to the issuer's next annual meeting of stockholders, if this date is when the issuer's trading window is closed, it will vest the first day thereafter during which the issuer's trading window is open. |