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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) | $ 10.24 | 02/21/2013(1) | A | 25,000 (2) | 02/21/2013(2) | 09/06/2017 | Common Stock | 25,000 | $ 0 | 25,000 | D | ||||
Stock Option (Right to Buy) | $ 9.95 | 02/21/2013 | A | 5,000 (3) | 03/31/2013(3) | 02/21/2018 | Common Stock | 5,000 | $ 0 | 5,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PUTTERMAN SETH 1941 RAMROD AVENUE, SUITE 100 HENDERSON, NV 89014 |
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/s/ James A Barnes as Attorney-in-Fact for Seth Putterman | 02/25/2013 | |
**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) | This option grant was approved by the Board of Directors on September 6, 2012, subject to approval of an amendment to the 2012 Stock Option Plan under which the option was granted. The Issuer's stockholders approved the amendment on February 21, 2013. |
(2) | This option vests equally over 12 calendar quarters with vesting commencing September 30, 2012, subject to the terms of the 2012 Stock Option Plan, as amended and the option agreement. |
(3) | This option vests equally over 8 calendar quarters commencing March 31, 2013, subject to the terms of the 2012 Stock Option Plan, as amended and the option agreement. |