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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 | ||||||||
Restricted Stock Units (1) | $ 0 | 02/08/2017 | A | 4,785 | (1) | (1) | Common Stock | 4,785 | $ 0 | 10,136 | D | ||||
Employee Stock Option (Rt to Buy) (2) | $ 62.7 (3) | 02/08/2017 | A | 15,300 | 02/08/2018 | 02/08/2024 | Common Stock | 15,300 | $ 62.7 (3) | 76,830 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hackworth Bryan M 201 EAST SANDPOINTE 8TH FLOOR SANTA ANA, CA 92707-6708 |
SVP and CFO |
/s/Bryan M. Hackworth, by Richard A. Firehammer, Jr., pursuant to Limited Power of Attorney dated August 5, 2006 (attached) | 02/09/2017 | |
**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) | Restricted Stock Grant was approved by the Compensation Committee of the Board of Directors on January 19, 2017 and ratified and approved by the Board of Directors on February 8, 2017, and granted on February 8, 2017 and will vest over a 3 year vesting schedule of 33.33% on February 8, 2018, and 8.33% quarterly thereafter. |
(2) | Employee Stock Option Grant was approved by the Compensation Committee of the Board of Directors on January 19, 2017 and ratified and approved by the Board of Directors on February 8, 2017, and granted on February 8, 2017 and will vest over a 3 year vesting schedule of 33.33% on February 8, 2018, and 8.33% quarterly thereafter. These Stock Options have a 7 year life. |
(3) | Exercise Price determined in accordance with the terms of the Company's applicable Stock Incentive Plan. |