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 | 02/03/2011(2) | 02/03/2016 | Common Stock | 35,000 | $ 4.19 | D | Â |
Employee Stock Option | 01/03/2010(3) | 01/03/2015 | Common Stock | 8,000 | $ 12.35 | D | Â |
Employee Stock Option | 01/05/2009(4) | 01/05/2014 | Common Stock | 7,500 | $ 3.67 | D | Â |
Employee Stock Option | 01/15/2008(5) | 01/15/2013 | Common Stock | 5,000 | $ 5.19 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Jones Richard A. 100 BAYVIEW CIRCLE, SUITE 400 NEWPORT BEACH, CA 92660 |
 |  |  Executive Vice President |  |
Leigh Ann Clifford, with Power of Attorney | 09/09/2011 | |
**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 shares shall vest in their entirety and all restrictions with reespect thereto shall lapse on December 31, 2011 |
(2) | Options became exercisable with respect to five percent (5%) on the first aniversary of February 3, 2006 ("Vesting Reference Date"); Twenty Percent (20%) on the second anniversary date of the Vesting Reference Date and Twenty-Five percent (25%) on each of the third through fifth anniversaries of the Vesting Reference Date. |
(3) | Options became exercisable with respect to five percent (5%) on the first aniversary of January 3, 2005 ("Vesting Reference Date"); Twenty Percent (20%) on the second anniversary date of the Vesting Reference Date and Twenty-Five percent (25%) on each of the third through fifth anniversaries of the Vesting Reference Date. |
(4) | Options became exercisable with respect to five percent (5%) on the first aniversary of January 5, 2004 ("Vesting Reference Date"); Twenty Percent (20%) on the second anniversary date of the Vesting Reference Date and Twenty-Five percent (25%) on each of the third through fifth anniversaries of the Vesting Reference Date. |
(5) | Options became exercisable with respect to five percent (5%) on the first aniversary of January 15, 2003 ("Vesting Reference Date"); Twenty Percent (20%) on the second anniversary date of the Vesting Reference Date and Twenty-Five percent (25%) on each of the third through fifth anniversaries of the Vesting Reference Date. |