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 | ||||
Employee Stock Option (right to buy) | Â (1) | 11/30/2016 | Common Stock | 2,250 | $ 2.6999 | D | Â |
Employee Stock Option (right to buy) | Â (1) | 11/30/2016 | Common Stock | 2,262 | $ 2.6999 | D | Â |
Employee Stock Option (right to buy) | Â (1) | 08/20/2017 | Common Stock | 57,476 | $ 0.4949 | D | Â |
Employee Stock Option (right to buy) | Â (1) | 05/22/2018 | Common Stock | 76,666 | $ 0.4949 | D | Â |
Employee Stock Option (right to buy) | Â (1) | 04/26/2019 | Common Stock | 35,333 | $ 0.8249 | D | Â |
Employee Stock Option (right to buy) | Â (1) | 06/17/2019 | Common Stock | 26,000 | $ 0.3899 | D | Â |
Employee Stock Option (right to buy) | Â (1) | 09/14/2019 | Common Stock | 6,500 | $ 0.3899 | D | Â |
Employee Stock Option (right to buy) | Â (1) | 07/15/2020 | Common Stock | 390,000 | $ 2.1149 | D | Â |
Employee Stock Option (right to buy) | Â (2) | 07/15/2020 | Common Stock | 52,000 | $ 2.1149 | D | Â |
Employee Stock Option (right to buy) | Â (3) | 07/15/2020 | Common Stock | 185,162 | $ 2.1149 | D | Â |
Employee Stock Option (right to buy) | Â (4) | 02/17/2021 | Common Stock | 66,666 | $ 2.8349 | D | Â |
Employee Stock Option (right to buy) | Â (5) | 06/14/2021 | Common Stock | 56,666 | $ 3.5549 | D | Â |
Employee Stock Option (right to buy) | Â (6) | 02/14/2022 | Common Stock | 10,000 | $ 11.5049 | D | Â |
Employee Stock Option (right to buy) | Â (7) | 08/31/2022 | Common Stock | 333,333 | $ 7.9949 | D | Â |
Employee Stock Option (right to buy) | Â (8) | 10/22/2023 | Common Stock | 26,666 | $ 8.8799 | D | Â |
Employee Stock Option (right to buy) | Â (9) | 02/07/2024 | Common Stock | 16,666 | $ 9.2549 | D | Â |
Employee Stock Option (right to buy) | Â (10) | 05/02/2024 | Common Stock | 23,333 | $ 12.8099 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brenner Bernard C/O TRUECAR, INC. 120 BROADWAY, SUITE 200 SANTA MONICA, CA 90401 |
 |  |  EVP, Business Development |  |
/s/ Troy Foster, by power of attorney | 05/15/2014 | |
**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) | Shares subject to the option are fully vested and immediately exercisable. |
(2) | Shares subject to the option shall vest according to certain event(s) to be determined by the Issuer's Chief Executive Officer upon collaboration with the Issuer's Board of Directors. |
(3) | The option is subject to an early exercise provision and is immediately exercisable. Shares subject to the option shall vest in forty-eight (48) equal monthly installments beginning on July 24, 2010. |
(4) | The option is subject to an early exercise provision and is immediately exercisable. Shares subject to the option shall vest in forty-eight (48) equal monthly installments beginning March 17, 2011. |
(5) | The option is subject to an early exercise provision and is immediately exercisable. Shares subject to the option shall vest in forty-eight (48) equal monthly installments beginning on March 15, 2012. |
(6) | The option is subject to an early exercise provision and is immediately exercisable. Shares subject to the option shall vest in forty-eight (48) equal monthly installments beginning on March 14, 2012. |
(7) | The option is subject to an early exercise provision and is immediately exercisable. Shares subject to the option shall vest in forty-eight (48) equal monthly installments beginning on June 30, 2012. |
(8) | The option is subject to an early exercise provision and is immediately exercisable. Shares subject to the option shall vest in forty-eight (48) equal monthly installments beginning on February 1, 2014. |
(9) | The option is subject to an early exercise provision and is immediately exercisable. Shares subject to the option shall vest in forty-eight (48) equal monthly installments beginning on March 7, 2014. |
(10) | The option is subject to an early exercise provision and is immediately exercisable. One-fourth (1/4th) of the shares subject to the option vest on May 2, 2015 and one forty-eighth (1/48th) of the shares vest monthly thereafter. |
(11) | Shares directly held by The Allison Brenner 2014 Family Trust for which the Reporting Person serves as trustee. |
(12) | Shares directly held by The Brenner 2014 Trust for which the Reporting Person serves as trustee. |
 Remarks: Exhibit 24 - Power of Attorney |