3: Initial statement of beneficial ownership of securities
Published on January 22, 2019
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 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 | ||||
Options | 04/05/2017(3) | 04/05/2020 | Common Stock | 62,500 (4) | $ 10 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Marsh Linda 100 N. STONEMAN ROOM 200 ALHAMBRA, CA 91801 |
X |
Signatures
/s/ LINDA MARSH | 01/18/2019 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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) | Represents shares held by Alliance Apex, LLC prior to January 11, 2019 when Reporting Person became a director of the Issuer. |
(2) | These shares are owned directly by Alliance Apex, LLC, of which Reporting Person is the sole manager and sole member. Reporting Person disclaims beneficial ownership of these shares except to the extent of her pecuniary interest therein, and the filing of this report is not an admission that Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. |
(3) | These options vest monthly at a rate of 1,736 shares per month over the first 35 months, and 1,740 shares in the 36th month. |
(4) | Represents options held by Reporting Person prior to January 11, 2019 when Reporting Person became a director of the Issuer. |