1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Appreciation Rights (right to buy)
(1)
|
04/01/2011(2)
|
03/31/2015 |
Common Stock
|
11,919
|
$
5
|
D
|
Â
|
Stock Appreciation Rights (right to buy)
(1)
|
01/21/2011(3)
|
01/20/2016 |
Common Stock
|
35,000
|
$
1.19
|
D
|
Â
|
Stock Appreciation Rights (right to buy)
(1)
|
03/23/2011(4)
|
03/22/2016 |
Common Stock
|
65,000
|
$
1.57
|
D
|
Â
|
Stock Appreciation Rights (right to buy)
(1)
|
04/05/2011(5)
|
04/04/2017 |
Common Stock
|
24,173
|
$
5.18
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
Stock appreciation rights ("SAR") exercisable for stock, granted for no consideration other than services. The grant is exempt under Rule 16b-3(d). |
(2) |
The SAR will become exercisable as to one-third of the underlying shares on the date indicated and each of the following two anniversaries of the dated indicated, subject to acceleration and early expiration in the event of certain terminations of employment. |
(3) |
The SAR will become exercisable as to one-third of the underlying shares on the date indicated and each of the following two anniversaries of the date indicated, subject to acceleration and early expiration in the event of certain terminations of employment. |
(4) |
The SAR will become exercisable as to 40% of the underlying shares on the date indicated and 30% on each of the following two anniversaries of the date indicated, subject to acceleration and early expiration in the event of certain terminations of employment or if the awards are not assumed in a change of control. |
(5) |
The SAR will become exercisable as to 25% of the underlying shares on the date indicated and each of the following three anniversaries of the date indicated, subject to acceleration and early expiration in the event of certain terminations of employment or if the awards are not assumed in a change of control. |