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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 | ||||||||
Employee Stock Option (right to buy) | $ 11.375 | 09/01/2009 | D | 60,000 | (2) | 11/01/2009 | Common Stock | 60,000 | (3) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 0.86 | 09/01/2009 | A | 5 | (3) | 09/01/2019 | Common Stock | 5 | (3) | 5 | D | ||||
Employee Stock Option (right to buy) | $ 0.86 | 09/01/2009 | A | 59,995 | (3) | 09/01/2019 | Common Stock | 59,995 | (3) | 59,995 | D | ||||
Employee Stock Option (right to buy) | $ 12.6875 | 09/01/2009 | D | 10,000 | (4) | 02/03/2010 | Common Stock | 10,000 | (5) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 0.86 | 09/01/2009 | A | 33 | (5) | 09/01/2019 | Common Stock | 33 | (5) | 33 | D | ||||
Employee Stock Option (right to buy) | $ 0.86 | 09/01/2009 | A | 9,967 | (5) | 09/01/2019 | Common Stock | 9,967 | (5) | 9,967 | D | ||||
Employee Stock Option (right to buy) | $ 8 | 09/01/2009 | D | 30,000 | (6) | 04/17/2010 | Common Stock | 30,000 | (7) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 0.86 | 09/01/2009 | A | 1,005 | (7) | 09/01/2019 | Common Stock | 1,005 | (7) | 1,005 | D | ||||
Employee Stock Option (right to buy) | $ 0.86 | 09/01/2009 | A | 28,995 | (7) | 09/01/2019 | Common Stock | 28,995 | (7) | 28,995 | D | ||||
Employee Stock Option (right to buy) | $ 2.125 | 09/01/2009 | D | 40,000 | (8) | 11/16/2010 | Common Stock | 40,000 | (9) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 0.86 | 09/01/2009 | A | 16,032 | (9) | 09/01/2019 | Common Stock | 16,032 | (9) | 16,032 | D | ||||
Employee Stock Option (right to buy) | $ 0.86 | 09/01/2009 | A | 23,968 | (9) | 09/01/2019 | Common Stock | 23,968 | (9) | 23,968 | D | ||||
Employee Stock Option (right to buy) | $ 3.82 | 09/01/2009 | D | 80,000 | (10) | 01/05/2014 | Common Stock | 80,000 | (11) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 0.86 | 09/01/2009 | A | 64,826 | (11) | 09/01/2019 | Common Stock | 64,826 | (11) | 64,826 | D | ||||
Employee Stock Option (right to buy) | $ 0.86 | 09/01/2009 | A | 15,174 | (11) | 09/01/2019 | Common Stock | 15,174 | (11) | 15,174 | D | ||||
Employee Stock Option (right to buy) | $ 2.98 | 09/01/2009 | D | 80,000 | (12) | 11/12/2014 | Common Stock | 80,000 | (13) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 0.86 | 09/01/2009 | A | 72,696 | (13) | 09/01/2019 | Common Stock | 72,696 | (13) | 72,696 | D | ||||
Employee Stock Option (right to buy) | $ 0.86 | 09/01/2009 | A | 7,304 | (13) | 09/01/2019 | Common Stock | 7,304 | (13) | 7,304 | D | ||||
Employee Stock Option (right to buy) | $ 1.3 | 09/01/2009 | D | 100,000 | (14) | 11/15/2017 | Common Stock | 100,000 | (15) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 0.86 | 09/01/2009 | A | 83,705 | (15) | 09/01/2019 | Common Stock | 83,705 | (15) | 83,705 | D | ||||
Employee Stock Option (right to buy) | $ 0.86 | 09/01/2009 | A | 16,295 | (15) | 09/01/2019 | Common Stock | 16,295 | (15) | 16,295 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HU GILBERT 410 EAST PLUMERIA DRIVE SAN JOSE, CA 95134 |
X | CEO |
/s/ Philip McDermott, as Attorney-in-Fact By and on behalf of Gilbert Hu | 09/15/2009 | |
**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) | Grant of restricted stock award. 100% of shares granted vest on date of grant. |
(2) | The option provided for vesting as follows: 25% on 11/1/2000 then one 48th each month through 11/1/2003. |
(3) | On September 1, 2009, the Issuer cancelled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on November 1, 1999. In exchange, the reporting person received a replacement option, for 5 shares, having an exercise price of $0.86 per share, which vested 100% on November 1, 2003 and 59,995 shares having an exercise price of $0.86 per share, which vest if and when the closing price of our common stock equals or exceeds $2.50 per share. |
(4) | The option provided for vesting as follows: 25% on 2/3/2001 then one 48th each month through 2/3/2004. |
(5) | On September 1, 2009, the Issuer cancelled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on February 3, 2000. In exchange, the reporting person received a replacement option, for 33 shares, having an exercise price of $0.86 per share, which vested 100% on February 3, 2004 and 9,967 shares having an exercise price of $0.86 per share, which vest if and when the closing price of our common stock equals or exceeds $2.50 per share. |
(6) | The option provided for vesting as follows: 25% on 4/17/2001 then one 48th each month through 4/17/2004. |
(7) | On September 1, 2009, the Issuer cancelled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on April 17, 2000. In exchange, the reporting person received a replacement option, for 1,005 shares, having an exercise price of $0.86 per share, which vested 100% on April 17, 2004 and 28,995 shares having an exercise price of $0.86 per share, which vest if and when the closing price of our common stock equals or exceeds $2.50 per share. |
(8) | The option provided for vesting as follows: 50% on 11/16/2001 and 50% on 11/16/2002. |
(9) | On September 1, 2009, the Issuer cancelled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on November 16, 2000. In exchange, the reporting person received a replacement option, for 16,032 shares, having an exercise price of $0.86 per share, which vested 100% on November 16, 2002 and 23,968 shares having an exercise price of $0.86 per share, which vest if and when the closing price of our common stock equals or exceeds $2.50 per share. |
(10) | The option provided for vesting as follows: 25% on 11/12/2004 then one 48th each month through 11/12/2007. |
(11) | On September 1, 2009, the Issuer cancelled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on January 5, 2004. In exchange, the reporting person received a replacement option, for 64,826 shares, having an exercise price of $0.86 per share, which vestd 100% on November 12, 2007 and 15,174 shares having an exercise price of $0.86 per share, which vest if and when the closing price of our common stock equals or exceeds $2.50 per share. |
(12) | The option provided for vesting as follows: 25% on 11/12/2005 then one 48th each month through 11/12/2008. |
(13) | On September 1, 2009, the Issuer cancelled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on November 12, 2004. In exchange, the reporting person received a replacement option, for 72,696 shares, having an exercise price of $0.86 per share, which vested 100% on November 12, 2008 and 7,304 shares having an exercise price of $0.86 per share, which vests if and when the closing price of our common stock equals or exceeds $2.50 per share. |
(14) | The option provided for vesting as follows: 25% on 11/15/2008 then one 48th each month through 11/15/2011. |
(15) | On September 1, 2009, the Issuer cancelled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on November 15, 2007. In exchange, the reporting person received a replacement option, for 83,705 shares, having an exercise price of $0.86 per share, which vests 100% on November 15, 2011and 16,295 shares having an exercise price of $0.86 per share, which vest if and when the closing price of our common stock equals or exceeds $2.50 per share. |