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 | ||||
Cliff-Vesting Restricted Stock Units | Â (1) | 03/07/2016 | Common Stock | 6,601 | $ (2) | D | Â |
Cliff-Vesting Restricted Stock Units | Â (3) | 03/07/2017 | Common Stock | 6,784 | $ (2) | D | Â |
Cliff-Vesting Restricted Stock Units | Â (4) | 02/27/2018 | Common Stock | 6,883 | $ (2) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
YEN ANDY 135 N. LOS ROBLES AVE 7TH FLR PASADENA, CA 91101 |
 |  |  Executive Vice President |  |
/s/ Felicia Yu, as Attorney-in-fact | 03/03/2016 | |
**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) | Restricted Stock Units ("RSU") granted on March 7, 2013 fully vest after three years on March 7, 2016. |
(2) | Each RSU represents the right to receive, at settlement, one share of common stock. |
(3) | RSU granted on March 7, 2014 fully vest after three years on March 7, 2017. |
(4) | RSU granted on February 27, 2015 fully vest after three years on February 27, 2018. |
 Remarks: Exhibit 24 - Power of Attorney |