UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units | 02/23/2011(1) | 02/23/2015 | Common Stock | 1,667 | $ 0.001 | D | Â |
Non-qualified Stock Option (Right to Buy) | 02/23/2011(2) | 02/23/2015 | Common Stock | 40,000 | $ 68.24 | D | Â |
Non-qualified Stock Option (Right to Buy) | 11/23/2011(2) | 11/23/2015 | Common Stock | 18,000 | $ 142.5 | D | Â |
Restricted Stock Units | 11/23/2011(1) | 11/23/2015 | Common Stock | 657 | $ 0.001 | D | Â |
Non-qualified Stock Option (Right to Buy) | 11/22/2012(2) | 11/22/2016 | Common Stock | 9,930 | $ 108.25 | D | Â |
Restricted Stock Units | 11/22/2012(1) | 11/22/2016 | Common Stock | 10,313 | $ 0.001 | D | Â |
Restricted Stock Units | 11/22/2012(1) | 11/22/2016 | Common Stock | 2,731 | $ 0.001 | D | Â |
Non-qualified Stock Option (Right to Buy) | 02/28/2013(2) | 02/28/2017 | Common Stock | 6,009 | $ 143.46 | D | Â |
Restricted Stock Units | 02/28/2013(1) | 02/28/2017 | Common Stock | 1,713 | $ 0.001 | D | Â |
Restricted Stock Units | 11/27/2013(1) | 11/27/2017 | Common Stock | 19,737 | $ 0.001 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Martinez Maria THE LANDMARK @ ONE MARKET ST SUITE 300 SAN FRANCISCO, CA 94105 |
 |  |  EVP, Customers for Life & CGO |  |
/s/ Sam Fleischmann, Attorney-in-Fact for Maria Martinez | 03/20/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Each restricted stock unit represents a right to receive one share of the Issuer's common stock upon vesting. Restricted stock units vest over four years, with 25% of the units vesting on the first anniversary of the holder's date of grant, as listed in the table, and the balance vesting in equal quarterly installments over the remaining 36 months. Vested amounts will be settled and delivered to the holder on each vesting date. |
(2) | Option is exercisable and vests over four years at the rate of 25% of the total shares granted on the first anniversary of the holder's date of grant, as listed in the table, with the balance vesting in equal monthly installments over the remaining 36 months. |