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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 | ||||||||
Option to purchase common stock (1) | $ 3.92 | 10/30/2007 | D | 30,000 | (1) | 12/11/2013 | Common Stock | 30,000 | $ 3.92 | 0 | D | ||||
Option to purchase common stock (2) | $ 5.81 | 10/30/2007 | D | 59,900 | (2) | 04/04/2015 | Common Stock | 59,900 | $ 5.81 | 0 | D | ||||
Option to purchase common stock (3) | $ 3.4 | 10/30/2007 | D | 40,000 | (3) | 05/23/2016 | Common Stock | 40,000 | $ 3.4 | 0 | D | ||||
Option to purchase common stock (4) | $ 4.32 | 10/30/2007 | D | 37,000 | (4) | 05/22/2017 | Common Stock | 37,000 | $ 4.32 | 0 | D | ||||
Option to purchase common stock (1) | $ 3.92 | 10/30/2007 | A | 30,000 | (1) | 12/11/2013 | Common Stock | 30,000 | $ 3.92 | 30,000 | D | ||||
Option to purchase common stock (2) | $ 5.81 | 10/30/2007 | A | 59,900 | (2) | 04/04/2015 | Common Stock | 59,900 | $ 5.81 | 59,900 | D | ||||
Option to purchase common stock (3) | $ 3.4 | 10/30/2007 | A | 40,000 | (3) | 05/23/2016 | Common Stock | 40,000 | $ 3.4 | 40,000 | D | ||||
Option to purchase common stock (4) | $ 4.32 | 10/30/2007 | A | 37,000 | (4) | 05/22/2017 | Common Stock | 37,000 | $ 4.32 | 37,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
UYESUGI KAREN 11 STUDEBAKER IRVINE, CA 92618 |
Vice President |
Robert J. Krist As Attorney in Fact for Karen Uyesugi | 10/30/2007 | |
**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) | (1)Amendment of outstanding option resulting in deemed cancellation of option, and grant of replacement option. The option was originally granted on 12/11/2003 and is 98% vested. It will be fully vested on 12/11/2007. |
(2) | (2)Amendment of outstanding option resulting in deemed cancellation of option, and grant of replacement option. The option was originally granted on 04/04/2005 and is 65% vested. The remainder would vest in equal monthly installments through 04/04/2009. |
(3) | (3)Amendment of outstanding option resulting in deemed cancellation of option, and grant of replacement option. The option was originally granted on 05/23/2006 and is 35% vested. The remainder would vest in equal monthly installments through 05/23/2010. |
(4) | (4)Amendment of outstanding option resulting in deemed cancellation of option, and grant of replacement option. The option was originally granted on 05/22/2007 and is 0% vested. The option would vest 25% upon the first anniversary of the grant date, and then in equal monthly installments over the next three years. |