UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option (right to buy) | 12/31/2014 | 12/31/2024 | Common Stock | 22,222 | $ 4.5 | D | Â |
Option (right to buy) | 12/31/2014 | 12/31/2024 | Common Stock | 36,161 | $ 4.5 | D | Â |
Option (right to buy) | 03/09/2010 | 03/09/2020 | Common Stock | 5,747 | $ 4.95 | D | Â |
Option (right to buy) | 06/16/2010 | 07/01/2020 | Common Stock | 4,738 | $ 4.95 | D | Â |
Option (right to buy) | 07/29/2011 | 07/29/2021 | Common Stock | 952 | $ 12.6 | D | Â |
Option (right to buy) | 07/29/2011 | 07/29/2021 | Common Stock | 7,936 | $ 12.6 | D | Â |
Option (right to buy) | 05/01/2013 | 05/01/2023 | Common Stock | 4,938 | $ 20.25 | D | Â |
Option (right to buy) | 05/01/2013 | 05/01/2023 | Common Stock | 10,211 | $ 20.25 | D | Â |
Stock Option (Right to Buy) | 03/03/2017(1) | 03/03/2026 | Stock Option (Right to Buy) | 15,000 | $ 12.99 | D | Â |
Restricted Stock Units | 03/03/2017 | Â (3) | Common stock | 7,500 (4) | $ (2) | D | Â |
Warrants | 09/02/2014 | 09/02/2016 | Common stock | 27,777 | $ 12.6 | I | John David Simpson Trustee of Simpson Trust dated 12/9/08 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Simpson John D. 400 CHESAPEAKE DRIVE REDWOOD CITY, CA 94063 |
 |  |  Sr. VP, Sales & Marketing |  |
/s/ John D Simpson | 07/22/2016 | |
**Signature of Reporting Person | Date |
* | 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) | The stock options vest 25% on the first anniversary of the transaction date and monthly thereafter in 36 equal increments. |
(2) | No exercise price for this type of award |
(3) | No expiration date for this type of award |
(4) | Reporting person received a grant under the 2015 Plan of RSUs with a grant date fair value of $12.99 per share. The RSUs vest annually over four years in equal increments. |