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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 | ||||||||
Common Stock Options-right to buy (2) | $ 4 | 01/21/2009 | A | V | 1,875 | 01/21/2014 | 01/21/2019 | Common Stock | 1,875 | $ 4 | 3,125 | D | |||
Common Stock Option-right to buy (3) | $ 6 | 01/21/2010 | A | V | 1,250 | 01/21/2015 | 01/21/2020 | Common Stock | 1,250 | $ 6 | 3,125 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MEDINA DANIEL A 5055 WILSHIRE BOULEVARD, SUITE 500 LOS ANGELES, CA 90036 |
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Daniele C. Johnson, Attorney-as-in-fact | 10/16/2014 | |
**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 September 17, 2014, the stockholders approved a proposal allowing directors and certain executive to purchase restricted common stock of the company. Regulatory approval was received. The transaction closed on October 16, 2014. |
(2) | On January 21, 2009, the Board of Directors approved a stock option grant (right to buy) in the amount of 1875 shares at $4.00 per share. |
(3) | On January 21, 2010, the Board of Directors approved a stock option grant (right to buy) in the amount of 1250 shares at $6.00 per share. |
(4) | These shares are held jointly in trust with spouse. |