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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 | ||||||||
Common Stock Options | $ 3.45 | 06/14/2007 | M | 13,990 | (2) | 07/15/2007 | Common Stock | 13,990 | $ 0 | 61,010 | D | ||||
Common Stock Options | $ 3.45 | 06/15/2007 | M | 42,687 | (2) | 07/15/2007 | Common Stock | 42,687 | $ 0 | 18,323 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CURTIS NICHOLAS T 1911 WALKER AVENUE MONROVIA, CA 91016 |
Sr. VP Sales |
Deborah Andrews as Attorney-in-Fact for Nicholas Curtis | 06/19/2007 | |
**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) | Includes 3,333 shares of "Restricted Stock" originally issued on April 4, 2006 that are subject to forfeiture on termination of employment. The forfeiture rights expire as to 1,666 of these shares on each of April 4, 2008 and April 4, 2009. |
(2) | The options to purchase 75,000 shares of common stock granted on July 15, 2002 vested in three equal installments of 25,000 shares on July 15, 2003, July 15, 2004 and July 15, 2005. |