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 | ||||
Employee Stock Option (right to buy) | Â (1) | 05/24/2014 | Common Stock | 27,250 | $ 3.08 | D | Â |
Employee Stock Option (right to buy) | Â (2) | 02/28/2015 | Common Stock | 15,000 | $ 3 | D | Â |
Employee Stock Option (right to buy) | Â (2) | 12/29/2015 | Common Stock | 713 | $ 7.32 | D | Â |
Employee Stock Option (right to buy) | Â (2) | 08/28/2016 | Common Stock | 45,000 | $ 7.29 | D | Â |
Employee Stock Option (right to buy) | Â (3) | 03/29/2017 | Common Stock | 20,000 | $ 4.98 | D | Â |
Employee Stock Option (right to buy) | Â (4) | 09/25/2017 | Common Stock | 10,000 | $ 8.78 | D | Â |
Employee Stock Option (right to buy) | Â (5) | 05/19/2018 | Common Stock | 70,000 | $ 8.38 | D | Â |
Employee Stock Option (right to buy) | Â (6) | 05/29/2019 | Common Stock | 75,000 | $ 1.31 | D | Â |
Employee Stock Option (right to buy) | Â (7) | 07/27/2019 | Common Stock | 80,000 | $ 1.25 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Van Berkel Monica 10420 RESEARCH ROAD, SE ALBUQUERQUE, NM 87123 |
 |  |  Chief Admin. Officer |  |
/s/ Monica Van Berkel | 01/28/2011 | |
**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) | This grant was originally made for 50,000 options, of which 27,250 remain outstanding and are fully vested and exercisable. |
(2) | These options are fully vested end exercisable. |
(3) | Of the 20,000 outstanding options, 15,000 options are fully vested and exercisable, and the remaining 5,000 options are scheduled to vest on 3/29/2011. |
(4) | Of the 10,000 outstanding options, 7,500 options are fully vested and exercisable, and the remaining 2,500 options are scheduled to vest on 09/25/2011. |
(5) | Of the 70,000 outstanding options, 35,000 options are fully vested and exercisable, and the remaining 35,000 options are scheduled to vest in two equal annual installments on 05/19/2011 and 5/19/2012. |
(6) | Of the 75,000 outstanding options, 18,750 options are fully vested and exercisable, and the remaining 56,250 options are scheduled to vest in three equal annual installments 05/29/2011, 05/29/2012 and 05/29/2013. |
(7) | Of the 80,000 outstanding options, 20,000 options are fully vested and exercisable, and the remaining 60,000 options are scheduled to vest in three equal annual installments on 07/27/2011, 07/27/2012 and 07/27/2013. |