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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 | ||||||||
Stock Option (right to buy) | $ 20.13 | 08/02/2011 | A | 15,000 | (6) | 08/02/2018 | Common Stock | 15,000 | $ 0 | 15,000 | D | ||||
Stock Option (right to buy) | $ 8.99 (1) (7) | (8) | 08/05/2017 | Common Stock | 42,000 (1) (7) | 42,000 (1) (7) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WALECKA JOHN L 3000 SAND HILL ROAD BUILDING 2, SUITE 290 MENLO PARK, CA 94025 |
X |
/s/ John Whittle, by power of attorney | 08/03/2011 | |
**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 June 1, 2011, the common stock of the Issuer split 2-for-1, in the form of a 100% stock dividend, to all stockholders of record as of the close of business on May 9, 2011 (the "Stock Split"). |
(2) | As a result of the Stock Split, ownership by the Walecka 1992 Living Trust udt dated December 31, 1992 ("Walecka Trust") includes 91,427 additional shares of common stock. |
(3) | The shares are held by the Walecka Trust. The Reporting Person is a trustee and beneficiary of the Walecka Trust. |
(4) | As a result of the Stock Split, ownership by Walecka Enterprises I, L.P. ("Walecka LP") includes 27,602 additional shares of common stock. |
(5) | The shares are held by Walecka LP. The Reporting Person is the General Manager of Walecka Capital LLC which serves as the general partner of Walecka LP. |
(6) | The option vests in forty-eight equal monthly installments beginning on September 2, 2011. |
(7) | The option was previously reported as covering 21,000 shares at an exercise price of $17.98 per share, but was adjusted to reflect the Stock Split. |
(8) | The option vests in forty-eight equal monthly installments beginning on September 5, 2010. |