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 | ||||
Stock Option (Right to Buy) | Â (2) | 12/07/2017 | Common Stock | 6,000 | $ 22.4 | D | Â |
Stock Option (Right to Buy) | Â (2) | 09/03/2018 | Common Stock | 9,250 | $ 6.55 | D | Â |
Stock Option (Right to Buy) | Â (2) | 09/03/2018 | Common Stock | 510 | $ 6.55 | D | Â |
Stock Option (Right to Buy) | Â (2) | 11/16/2019 | Common Stock | 4,000 | $ 8.95 | D | Â |
Stock Option (Right to Buy) | Â (2) | 11/12/2020 | Common Stock | 5,000 | $ 11.1 | D | Â |
Stock Option (Right to Buy) | Â (3) | 11/14/2021 | Common Stock | 4,000 | $ 8.05 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Goss Dale 6475 CHRISTIE AVE, SUITE 150 EMERYVILLE, CA 94608 |
 |  |  SVP/GM, US Stores East |  |
/s/ Karen Luey, as attorney-in-fact for Dale Goss | 03/19/2015 | |
**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) | The securities reported in this column consist of 14,347 restricted stock units which give the Reporting Person a contingent right to receive at a future date one share of JMBA common stock for each restricted stock unit held. Of the 14,347 restricted stock units, 666 will vest on 8/6/2015, 1,833 will vest on 8/7/2015, 1,083 will vest on 8/8/2015, 1,833 will vest on 8/7/2016, 1,084 will vest on 8/8/2016, and 1,834 will vest on 8/7/2017. |
(2) | The stock option is fully vested. |
(3) | Vesting occurs in four equal installments on the first, second, third and fourth anniversary of the vesting commencement date of 11/14/2011. |