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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 buy) | $ 1.0864 | 02/26/2014 | M | 9,383 | (2) | 05/02/2018 | Common stock, par value $0.001 per share | 9,383 | $ 0 | 103,378 (3) | D | ||||
Stock Option (right to buy) | $ 1.0864 | 02/28/2014 | M | 9,383 | (2) | 05/02/2018 | Common stock, par value $0.001 per share | 9,383 | $ 0 | 93,995 (3) | D | ||||
Stock Option (right to buy) | $ 1.0864 | 02/28/2014 | M | 7,037 | (2) | 05/02/2018 | Common stock, par value $0.001 per share | 7,037 | $ 0 | 86,958 (3) | D | ||||
Stock Option (right to buy) | $ 3.3255 | (2) | 05/02/2018 | Common stock, par value $0.001 per share | 187,935 | 187,935 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GOLLEHER GEORGE 11811 N.TATUM BLVD SUITE 2400 PHOENIX, AZ 85028 |
X |
Brandon F. Lombardi, Attorney-in-Fact for George Golleher | 02/28/2014 | |
**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 sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. |
(2) | All such options are presently exercisable. |
(3) | The reporting person's Form 3 included options to purchase an aggregate of 300,696 shares of common stock. All such options were reported as exercisable at a price of $3.3255 per share. However, of such options, options to purchase 187,935 shares of common stock were exercisable at a price of $3.3255 per share and the remaining options to purchase 112,761 shares of common stock were exercisable at a price of $1.0864 per share. On February 26 and 28, 2014, the reporting person exercised options to purchase an aggregate of 25,803 of such shares at a price of $1.0864 per share. |