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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 acquire) | $ 3.55 | 03/19/2013 | 03/20/2013 | M(1) | 400 (1) | 08/06/2003 | 08/06/2013 | Common Stock | 400 | $ 0 | 29,350 (1) | D | |||
Stock Option (right to acquire) | $ 3.55 | 03/22/2013 | M(2) | 768 (2) | 08/06/2003 | 08/06/2013 | Common Stock | 768 | $ 0 | 28,582 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SEAVEY THOMAS L 7250 REDWOOD BLVD., SUITE 200 NOVATO, CA 94945 |
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/s/ Peter D. Fetzer, Attorney-in-Fact for Thomas L. Seavey | 03/22/2013 | |
**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 Form 4 filed on March 22, 2013 reported that the entire stock option was exercised. On March 19, 2013, the reporting person actually exercised 400 shares. |
(2) | The Form 4 filed on March 22, 2013 reported that the entire stock option was exercised. On March 22, 2013, the reporting person actually exercised 768 shares. |
(3) | The Form 4 filed on March 22, 2013 reported that 500 shares were sold in this transaction. The reporting person actually sold 768 shares in this transaction. |
(4) | The Form 4 filed on March 22, 2013 reported the sale price of $7.00 per share in this transaction. The sale price was actually $7.0547 per share in this transaction. This price is a weighted average price. The prices actually received ranged from $7.00 to $7.25. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing an average weighted price. |