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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 | ||||||||
RSUs | $ 0 | 05/03/2018 | M | 2,833 | (3) | (3) | Common Stock | 2,833 | $ 0 | 0 | D | ||||
RSUs | $ 0 | 05/03/2018 | M | 2,833 | (4) | (4) | Common Stock | 2,833 | $ 0 | 0 | D | ||||
RSUs | $ 0 | 05/03/2018 | M | 3,725 | (5) | (5) | Common Stock | 3,725 | $ 0 | 0 | D | ||||
RSUs | $ 0 | 05/03/2018 | M | 2,501 | (6) | (6) | Common Stock | 2,501 | $ 0 | 0 | D | ||||
RSUs | $ 0 | 05/03/2018 | M | 2,822 | (7) | (7) | Common Stock | 2,822 | $ 0 | 0 | D | ||||
RSUs | $ 0 | 05/03/2018 | M | 533 | (8) | (8) | Common Stock | 533 | $ 0 | 1,597 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HOWE LESLEY H 7475 LUSK BLVD. SAN DIEGO, CA 92121 |
X |
/s/ Nathaniel B. Sisitsky, Attorney-in-Fact for Lesley H. Howe | 05/07/2018 | |
**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) | On May 3, 2018, the Reporting Person retired from his position as a member of the Issuer's Board of Directors. Pursuant to deferral elections made by the Reporting Person, all shares underlying Restricted Stock Units ("RSUs") subject to such deferrals were delivered to the Reporting Person promptly following the Issuer's 2018 Annual Meeting of Stockholders on May 3, 2018, the date on which the Reporting Person retired; provided, however, that 1,597 shares remain subject to deferred delivery over the next three years. |
(2) | Shares directly held by the Reporting Person. The Reporting Person also holds conditional rights to receive shares pursuant to previously disclosed Issuer equity awards. |
(3) | This RSU award was granted to the Reporting Person on May 24, 2012 and is fully vested. |
(4) | This RSU award was granted to the Reporting Person on May 23, 2013 and is fully vested. |
(5) | This RSU award was granted to the Reporting Person on May 22, 2014 and is fully vested. |
(6) | This RSU award was granted to the Reporting Person on June 12, 2015 and is fully vested. |
(7) | This RSU award was granted to the Reporting Person on May 19, 2016 and is fully vested. |
(8) | This RSU award was granted to the Reporting Person on May 18, 2017 and is fully vested. |