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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 | |
SMITH LONNIE M 1020 KIFER ROAD SUNNYVALE, CA 94086 |
X |
By: Lori Serrano For: Lonnie M Smith | 11/10/2016 | |
**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) | These shares were gifted from the account of Lonnie Smith & Cheryl Smith, Community Property to The Church of Jesus Christ of Latter-Day Saints. |
(2) | These shares were gifted from the account of Lonnie Smith & Cheryl Smith, Community Property to The Smith Family Foundation. |
(3) | Shares were distributed by the Lonnie M. Smith Heartflow II GRAT, dated 10/9/14, to Lonnie Smith & Cheryl Smith, Community Property. |
(4) | The shares were gifted to the filer's grandchildren: Brooks Eggleston - 40 shares; Cade Keyser - 40 shares; Weston Smith - 45 shares; Elizabeth Howell - 45 shares; Parker Eggleston - 45 shares; Madeleine Eggleston - 45 shares; Mathew Dayley - 45 shares; Caroline Dayley - 45 shares; Bria Smith - 45 shares; Anna Howell - 50 shares; Greyson Smith - 290 shares. |