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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 | ||||||||
| Incentive Stock Option (right to buy) | $ 1.2 | 11/17/2009 | M | 25,934 | 07/10/2002(1) | 07/10/2012 | Common Stock | 25,934 | $ 0 | 7,132 | D | ||||
| Non-Qualified Stock Option (right to buy) | $ 1.2 | 11/17/2009 | M | 22,866 | 07/10/2002(1) | 07/10/2012 | Common Stock | 22,866 | $ 0 | 122,655 | D | ||||
| Incentive Stock Option (right to buy) | $ 0.58 | 11/14/2000(2) | 11/14/2010 | Common Stock | 136,473 | 136,473 | D | ||||||||
| Incentive Stock Option (right to buy) | $ 1.2 | 05/21/2003(3) | 05/21/2013 | Common Stock | 75,000 | 75,000 | D | ||||||||
| Incentive Stock Option (right to buy) | $ 6.5 | 04/08/2004(4) | 03/08/2014 | Common Stock | 66,943 | 66,943 | D | ||||||||
| Incentive Stock Option (right to buy) | $ 6.59 | 04/11/2005(5) | 04/11/2015 | Common Stock | 15,154 | 15,154 | D | ||||||||
| Incentive Stock Option (right to buy) | $ 6.81 | 04/01/2007(6) | 03/14/2017 | Common Stock | 11,091 | 11,091 | D | ||||||||
| Incentive Stock Option (right to buy) | $ 7.15 | 03/01/2006(7) | 03/01/2016 | Common Stock | 18,464 | 18,464 | D | ||||||||
| Non-Qualified Stock Option (right to buy) | $ 6.5 | 04/08/2004(4) | 03/08/2014 | Common Stock | 19,557 | 19,557 | D | ||||||||
| Non-Qualified Stock Option (right to buy) | $ 6.59 | 04/11/2005(5) | 04/11/2015 | Common Stock | 69,846 | 69,846 | D | ||||||||
| Non-Qualified Stock Option (right to buy) | $ 6.81 | 04/01/2007(6) | 03/14/2017 | Common Stock | 88,909 | 88,909 | D | ||||||||
| Non-Qualified Stock Option (right to buy) | $ 7.15 | 03/01/2006(7) | 03/01/2016 | Common Stock | 131,536 | 131,536 | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Sabry James H 280 EAST GRAND AVENUE SOUTH SAN FRANCISCO, CA 94080 |
X | |||
| James H. Sabry, M.D., Ph.D. | 11/18/2009 | |
| **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) | When the ISO and NQ dated 07/10/02 are combined for a total grant of 300,000 shares, the option is immediately exercisable upon grant and shall vest as to 5,000 shares on 04/15/02 and the balance of 295,000 divided into equal monthly installments thereafter such that the option shall be 100% vested on 03/15/07. |
| (2) | When the ISO and NQ dated 11/14/00 are combined for a total grant of 250,000 shares, the option is immediately exercisable upon grant and shall vest as to 4,167 shares on 12/14/00 and the balance of 245,833 divided into equal monthly installments thereafter such that the option shall be 100% vested on 11/14/05. |
| (3) | This option is immediately exercisable upon grant and shall vest as to 1,563 shares on 04/01/03 and the balance of 73,437 divided into equal monthly installments thereafter such that the option shall be 100% vested on 03/01/07. |
| (4) | When the ISO and NQ dated 03/08/04 are combined for a total grant of 86,500 shares, the option shall vest and become exercisable as to 1,802 shares on 04/08/04 and the balance of 84,698 divided into equal monthly installments thereafter such that the option shall be 100% vested on 03/08/08. |
| (5) | When the ISO and NQ dated 04/11/05 are combined for a total grant of 85,000 shares, the option shall vest and become exercisable as to 85,000 shares divided into equal monthly installments such that the option shall be 100% vested on 03/01/2009. |
| (6) | When the ISO and NQ dated 03/14/2007 are combined for a total grant of 100,000 shares, the option shall vest and become exercisable as to 2,083 shares on 04/01/07 and the balance of 97,917 divided into equal monthly installments thereafter such that the option shall be 100% vested on 03/01/11. |
| (7) | When the ISO and NQ dated 03/01/2006 are combined for a total grant of 150,000 shares, the option shall vest and become exercisable as to 150,000 shares divided into equal monthly installments such that the option shall be 100% vested on 03/01/2010. |