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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 Options (right to acquire common stock) | $ 3.95 | 07/30/2005(1) | 07/30/2014 | Common Stock | 20,000 | 20,000 | D | ||||||||
Restricted Stock Units (right to acquire common stock) | $ 0 (2) | 08/08/2011 | D(2) | 3,376 | (2) | 01/13/2013 | Common Stock | 3,376 | (2) | 0 | D | ||||
Restricted Stock Units (right to acquire common stock) | $ 0 (3) | 08/08/2011 | D(3) | 2,202 | (3) | 07/15/2014 | Common Stock | 2,202 | (3) | 0 | D | ||||
Restricted Stock Units (right to acquire common stock) | $ 0 (4) | 08/09/2011 | A(4) | 12,352 | 02/09/2012(4) | 08/09/2012 | Common Stock | 12,352 | (4) | 12,352 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lu Yungang 4/F ZHONGDIAN INFORMATION TOWER 6 ZHONGGUANCUN S. ST., HAIDIAN DIST. BEIJING, F4 100086 |
X |
/s/ Yungang Lu | 08/10/2011 | |
**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) | 20,000 stock options with an exercise price of $3.95 were granted on July 30, 2004. These options vest in two installments of 25% each on the first and second anniversary of the grant date, and in eight subsequent quarterly installments of 6.25% each, commencing on October 30, 2006 and ending on July 30, 2008. |
(2) | 6,750 restricted stock units were granted on January 13, 2009 (the "2009 RSUs"). Each 2009 RSU represented a contingent right to receive one share of common stock. The 2009 RSUs were to vest in four equal annual installments beginning January 13, 2010. The 2009 RSUs were cancelled in connection with the grant of new restricted stock units on August 9, 2011. See Note 4. |
(3) | 2,937 restricted stock units were granted on July 15, 2010 (the "2010 RSUs"). Each 2010 RSU represented a contingent right to receive one share of common stock. The 2010 RSUs were to vest in four equal annual installments beginning July 15, 2011. The 2010 RSUs were cancelled in connection with the grant of new restricted stock units on August 9, 2011. See Note 4. |
(4) | 12,352 restricted stock units were granted on August 9, 2011 (the "2011 RSUs"). Each 2011 RSU represents a contingent right to receive one share of common stock. The 2011 RSUs vest in two equal installments on the 6-month and 12-month anniversaries of the grant date. The grant of the 2011 RSUs was conditioned on the Reporting Person's cancellation of the 2009 RSUs and 2010 RSUs. |