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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 | ||||||||
RSUs (3) | $ 0 | 05/01/2018 | M | 1,680 | (4) | (4) | Common Stock | 1,680 | $ 0 | 1,679 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rozow Stephen 7475 LUSK BLVD. SAN DIEGO, CA 92121 |
EVP, Global Process |
/s/ Nathaniel B. Sisitsky, Attorney-in-Fact for Stephen Rozow. | 05/03/2018 | |
**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) | Shares directly held by the Reporting Person. The Reporting Person also holds conditional rights to receive shares pursuant to previously disclosed Company equity awards. Amount includes 135 shares acquired under the Issuer's employee stock purchase plan in October 2017 and 154 shares acquired under the Issuer's employee stock purchase plan in April 2018. |
(2) | Shares withheld by the Issuer to satisfy tax withholding obligations. |
(3) | Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's common stock upon vesting. |
(4) | This RSU award was granted to the Reporting Person on May 1, 2015. In accordance with the terms of the RSU award, this award vested as to 1,680 shares on May 1, 2016, May 1, 2017 and May 1, 2018 and will vest as to 1,679 shares on May 1, 2019. |