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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 | $ 0 | 09/13/2011 | M | 15,000 | (3) | (4) | Common Stock | 15,000 | $ 0 | 65,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
St Dennis Thomas 7005 SOUTHFRONT ROAD LIVERMORE, CA 94551 |
X | CEO |
By: /s/ Stuart L Merkadeau, Attorney-in-Fact For: Thomas St. Dennis | 09/15/2011 | |
**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) | Represents vested shares of common stock issued pursuant to the first conversion of one-fourth of the restricted stock units granted on September 13, 2010. |
(2) | Represents vested shares of common stock sold to satisfy certain tax withholding obligations associated with the conversion of the restricted stock units. |
(3) | The Restricted Stock Units were granted pursuant to the Issuer's 2002 Equity Incentive Plan and vest in four equal installments on September 13 of each 2011, 2012, 2013 and 2014. |
(4) | The restricted stock units released on September 13, 2011 were settled in shares of common stock and were immediately cancelled upon settlement. |
Remarks: THE STATEMENT GRANTING THE ATTORNEY-IN-FACT THE AUTHORITY TO EXECUTE AND FILE THIS FORM 4 IS BEING FILED CONCURRENTLY WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION. |