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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 | |
DiSanto Michael 222 SOUTH MILL AVENUE #800 TEMPE, AZ 85281 |
Chief Admin. & Legal Officer |
Michael DiSanto /s/ James R. Todd, Attorney-in-Fact | 04/03/2015 | |
**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) | Reporting Person received an aggregate of 75,000 restricted stock units. Subject to the provisions of the 2007 Equity Incentive Plan and Reporting Person's employment and restricted stock unit agreements with the Company, 100% of the restricted stock units will vest on May 1, 2015, provided the Reporting Person continues to be a Service Provider through the vesting date. |
(2) | $0.00 is used for technical reasons as there is no price for this security until it vests in the case of RSUs, or until it is exercised in the case of stock options. |
(3) | This includes 75,000 unvested restricted stock units. |
(4) | Reporting Person received an aggregate of 150,000 restricted stock units. Subject to the provisions of the 2007 Equity Incentive Plan and Reporting Person's employment and restricted stock unit agreements with the Company, one-quarter (1/4th) of the restricted stock units will vest on June 1, 2016 (the "Vesting Commencement Date"), and one-sixteenth (1/16th) of the restricted stock units will vest on September 1, 2016 and an additional one-sixteenth (1/16th) will vest on the first day of each December, March, June, and September thereafter until all of the restricted stock units have vested (four years), provided the Reporting Person continues to be a Service Provider through each such vesting date. |
(5) | This includes 225,000 unvested restricted stock units. |
Remarks: Executed pursuant to the Limited Power of Attorney for Section 16 reporting obligations dated April 1, 2015. |