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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HALLA BRIAN 170 WEST TASMAN DRIVE SAN JOSE, CA 95134 |
X |
/s/ Brian Halla by Evan Sloves, Attorney-in-Fact | 03/29/2011 | |
**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) | Excludes shares previously held indirectly by the family trust (FT) on March 7, 2011 that were transferred to a family limited partnership (FLP) as described in this Note 1. On March 16, 2011, FT transferred a total of 31,806 shares to FLP, a limited partnership formed in connection with transfers reported on this Form, and in which the reporting person and his spouse are the general partner, solely in their capacity as trustees of Gift Trust #1 (described in Note 3), and the reporting person and his spouse, solely in their capacity as trustees of FT, are the sole limited partners. |
(2) | Excludes 322 shares previously held indirectly by Gift Trust #1 on March 7, 2011 that the reporting person and his spouse, in their capcity as trustees of Gift Trust #1, transferred to FLP on March 16, 2011. Following said transfer, the reporting person continues to be deemed the beneficial owner of the 322 shares so transferred to and held by FLP, as Gift Trust #1 acquired an equivalent general partner interest in FLP in exchange therefor. |
(3) | An irrevocable gift trust of which the reporting person and his spouse are trustees and of which the reporting person's adult children are the sole beneficiaries. |
(4) | The reported securities are held by FLP. On March 23, 2011, the reporting person and his spouse, in their capacity as trustees of FT, divided the limited partner interest described in Note 1 in two equal amounts (each representing an interest in 15,903 of the 32,108 total shares held by FLP), and thereafter sold one of such limited partner interests to Gift Trust #2 (described in Note 6) and the other to Gift Trust #3 (described in Note 7) for an aggregate purchase price of $194,478 per transaction. Following said transactions, through Gift Trust #1, Gift Trust #2 and Gift Trust #3, the reporting person continues to be deemed the beneficial owner of all 32,128 shares held by FLP. See also Notes 2, 6 and 7. |
(5) | Excludes shares reported as indirectly held in the last three rows of Table I of this Form 4. |
(6) | An irrevocable trust of which the reporting person and his spouse are trustees and of which one of the reporting person's adult children is the sole beneficiary. |
(7) | An irrevocable trust of which the reporting person and his spouse are trustees and of which the other adult child of the reporting person is the sole beneficiary. |