3/A: Initial statement of beneficial ownership of securities
Published on April 5, 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 | ||||
Stock Options | 04/05/2017(1) | 04/05/2020 | Common Stock | 62,500 (2) | $ 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 | 04/05/2019 | |
**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) | This Form 3/A is being filed to correct the vesting schedule for the stock options previously reported in the Form 3 filed by Reporting Person on January 22, 2019, as follows: the stock options became fully vested on December 8, 2017 and were granted pursuant to the Issuer's 2015 Equity Incentive Plan. |
(2) | Represents stock options held by Reporting Person prior to January 11, 2019 when Reporting Person became a director of the Issuer. |