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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) | $ 151.563 | 04/23/2009 | D | 10,000 | (1) | 09/01/2010 | Common Stock | 10,000 | $ 0.01 (2) | 0 | D | ||||
| Stock Option (Right to Buy) | $ 101.575 | 04/23/2009 | D | 3,000 | (3) | 11/22/2010 | Common Stock | 3,000 | $ 0.01 (2) | 0 | D | ||||
| Stock Option (Right to Buy) | $ 92.188 | 04/23/2009 | D | 3,000 | (4) | 02/12/2011 | Common Stock | 3,000 | $ 0.01 (2) | 0 | D | ||||
| Stock Option (Right to Buy) | $ 107.75 | 04/23/2009 | D | 600 | (5) | 06/11/2011 | Common Stock | 600 | $ 0.01 (2) | 0 | D | ||||
| Stock Option (Right to Buy) | $ 75 | 04/23/2009 | D | 8,000 | (6) | 10/09/2011 | Common Stock | 8,000 | $ 0.01 (2) | 0 | D | ||||
| Stock Option (Right to Buy) | $ 6.05 | 04/23/2009 | D | 450,000 | (7) | 07/10/2014 | Common Stock | 450,000 | $ 1.15 (2) | 0 | D | ||||
| Stock Option (Right to Buy) | $ 6.66 | 04/23/2009 | D | 500,000 | (8) | 01/03/2015 | Common Stock | 500,000 | $ 1.15 (2) | 0 | D | ||||
| Stock Option (Right to Buy) | $ 6.9 | 04/23/2009 | D | 300,000 | (9) | 07/20/2017 | Common Stock | 300,000 | $ 1.15 (2) | 0 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| SHROTRIYA RAJESH C MD 157 TECHNOLOGY DRIVE IRVINE, CA 92618 |
X | Chairman, CEO & President | ||
| /S/ Shyam Kumaria | 04/27/2009 | |
| **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) | The shares underlying this stock option, granted on September 1, 2000, vested pursuant to the achievement of certain milestones. As of April 23, 2009, 6,000 of the shares underlying this stock option had vested. |
| (2) | This stock option was cancelled by the mutual agreement of the reporting person and the issuer pursuant to the issuer's tender offer filed on Schedule To (the "Schedule TO") dated March 23, 2009, as filed with the Securities and Exchange Commission (the "SEC") on March 23, 2009, as amended by Amendment No. 1 and Amendment No. 2 to Schedule TO filed with the SEC on April 9, 2009 and April 24, 2009, respectively. |
| (3) | The shares underlying this stock option vested in equal 25% increments every 12 months from the Grant Date of November 22, 2000 over 4 years. As of April 23, 2009, the shares underlying this stock option had vested. |
| (4) | The shares underlying this stock option vested in equal 1/3 increments every 3 months commencing on the Grant Date of February 12, 2001 over 1 year. As of April 23, 2009, the shares underlying this stock option had vested. |
| (5) | The shares underlying this stock option vested in equal 25% increments every 3 months commencing on the Grant Date of June 11, 2001 over 1 year. As of April 23, 2009, the shares underlying this stock option had vested. |
| (6) | The shares underlying this stock option vested in equal 25% increments every six months from the Grant Date of October 9, 2001 over 2 years. As of April 23, 2009, the shares underlying this stock option had vested. |
| (7) | The shares underlying this stock option vested in equal increments every six months from the Grant Date of July 10, 2004 over 2 years. As of April 23, 2009, the shares underlying this stock option had vested. |
| (8) | The shares underlying this stock option vested in equal 25% increments every 12 months commencing on the Grant Date of January 3, 2005 over 3 years. As of April 23, 2009, the shares underlying this stock option had vested. |
| (9) | The shares underlying this stock option vested in equal 25% increments commencing on the Grant Date of July 20, 2007 over 3 years. As of April 23, 2009, 150,000 shares underlying this stock option had vested. |
| Remarks: Shyam Kumaria on behalf of Rajesh Shrotriya by Power of Attorney. | |