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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 | ||||||||
Stock Option (right to buy Class B Common Stock) (2) | $ 1.41 | 08/28/2013 | C | 129,300 (3) | 01/19/2010 | 01/19/2016 | Class B Common Stock (2) | 129,300 | $ 0 | 0 | D | ||||
Stock Option (right to buy Class A Common Stock) | $ 1.41 | 08/28/2013 | C | 129,300 (3) | 01/19/2010 | 01/19/2016 | Class A Common Stock | 129,300 | $ 0 | 129,300 | D | ||||
Stock Option (right to buy Class B Common Stock) (2) | $ 4.64 | 08/28/2013 | C | 49,914 (3) | 08/31/2011 | 02/15/2018 | Class B Common Stock (2) | 49,914 | $ 0 | 0 | D | ||||
Stock Option (right to buy Class A Common Stock) | $ 4.64 | 08/28/2013 | C | 49,914 (3) | 08/31/2011 | 02/15/2018 | Class A Common Stock | 49,914 | $ 0 | 49,914 | D | ||||
Stock Option (right to buy Class B Common Stock) (2) | $ 10.75 | 08/28/2013 | C | 30,000 (3) | 12/11/2012 | 12/11/2018 | Class B Common Stock (2) | 30,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy Class A Common Stock) | $ 10.75 | 08/28/2013 | C | 30,000 (3) | 12/11/2012 | 12/11/2018 | Class A Common Stock | 30,000 | $ 0 | 30,000 | D | ||||
Stock Option (right to buy Class B Common Stock) (2) | $ 20.01 | 08/28/2013 | C | 100,000 (3) | (4) | 11/12/2019 | Class B Common Stock (2) | 100,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy Class A Common Stock) | $ 20.01 | 08/28/2013 | C | 100,000 (3) | (4) | 11/12/2019 | Class A Common Stock | 100,000 | $ 0 | 100,000 | D | ||||
Class B Common Stock (2) | $ 0 | 08/28/2013 | C | 9,700 (5) | (2) | (2) | Class A Common Stock | 9,700 | $ 0 | 0 | D | ||||
Class B Common Stock (2) | $ 0 | 08/28/2013 | C | 4,460 (5) | (2) | (2) | Class A Common Stock | 4,460 | $ 0 | 0 | I | By minor children |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ricci John C 3465 EAST FOOTHILL BOULEVARD PASADENA, CA 91107 |
General Counsel and Secretary |
/s/ Lina Davidian as attorney-in-fact for John C. Ricci | 08/30/2013 | |
**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) | The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
(2) | The Class B Common Stock is convertible at the holder's option into the issuer's Class A Common Stock on a 1-for-1 basis and has no expiration date. |
(3) | Shares underlying the option converted from Class B Common Stock into Class A Common Stock on a one-for-one basis in accordance with terms for the automatic conversion of all outstanding shares of Class B Common Stock into shares of Class A Common Stock under Article V of the issuer's Certificate of Incorporation. |
(4) | Options vest as to 1/4 of the shares on November 12, 2010 and then 1/48th monthly thereafter, subject to the reporting person's provision of services to the issuer on each vesting date. |
(5) | The Class B Common Stock converted into shares of Class A Common Stock on a one-for-one basis in accordance with terms for the automatic conversion of all outstanding shares of Class B Common Stock into shares of Class A Common Stock under Article V of the issuer's Certificate of Incorporation. |