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 | ||||
Non-Qualified Stock Option (right to buy) | Â (2) | 11/30/2021 | Common Stock | 8,250 | $ 4.01 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (3) | 10/31/2022 | Common Stock | 14,000 | $ 6.96 | D | Â |
Non-Qualified Stock Option (right to buy) | Â (4) | 01/31/2021 | Common Stock | 27,000 | $ 8.56 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Nouri Alaleh 1310 CHESAPEAKE TERRACE SUNNYVALE, CA 94089 |
 |  |  SVP & Interim GC |  |
By: Oria De La Cerda For: Alaleh Nouri | 02/12/2014 | |
**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) | 8,806 shares are held directly by the Reporting Person. The shares were acquired through the vesting and release of RSU shares. The remaining 13,500 RSU shares from a grant on January 31, 2013 will vest on January 31, 2015. The remaining 16,875 shares from RSU grants are subject to vesting at the rate of 25% of the shares on each yearly anniversary of the vesting commencement date. |
(2) | The remaining shares subject to the option vest in equal monthly installments until fully vested on November 30, 2015. |
(3) | The remaining shares subject to the option vest in equal monthly installments until fully vested on October 31, 2016. |
(4) | The remaining shares subject to the option vest in equal monthly installments until fully vested on January 31, 2015. |