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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 | ||||||||
NQ Stock Option | $ 2.3 | 11/10/2004 | M | 30,978 | 11/22/2001 | 07/24/2011 | Common Shares | 30,978 | $ 2.3 | 0 | I | The Christopher C. Pope Trust - 2002 | |||
NQ Stock Option | $ 2.3 | 11/10/2004 | M | 30,978 | 11/22/2001 | 07/24/2011 | Common Shares | 30,978 | $ 2.3 | 0 | I | The Heidi R. Pope Trust - 2002 | |||
NQ Stock Option | $ 2.3 | 11/10/2004 | M | 30,978 | 11/22/2001 | 07/24/2011 | Common Shares | 30,978 | $ 2.3 | 0 | I | The Curtis Dean Pope Trust - 2002 | |||
NQ Stock Option | $ 2.3 | 11/10/2004 | M | 30,978 | 11/22/2001 | 07/24/2011 | Common Shares | 30,978 | $ 2.3 | 0 | I | The Holly Anne Pope Trust - 2002 | |||
NQ Stock Option | $ 2.3 | 11/10/2004 | M | 30,978 | 11/22/2001 | 07/24/2011 | Common Shares | 30,978 | $ 2.3 | 0 | I | The Heather G Pope Trust - 2002 | |||
NQ Stock Option | $ 2.3 | 11/22/2001(2) | 07/24/2011 | Common Shares | 236,414 | 236,414 | D | ||||||||
NQ Stock Option | $ 21.42 | 08/06/2004(3) | 08/06/2013 | Common Shares | 1,000,000 | 1,000,000 | D | ||||||||
NQ Stock Option | $ 13.62 | 09/16/2005(4) | 09/16/2011 | Common Shares | 200,000 | 200,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
POPE CHARLES C 920 DISC DRIVE ATTN: STOCK PLAN ADMINISTRATION SCOTTS VALLEY, CA 95067 |
Executive VP and CFO |
/s/ Roberta S. Cohen for Charles C. Pope | 11/12/2004 | |
**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) | Average Sales Price |
(2) | Options granted to the Reporting Person under the Issuer's 2001 Share Option Plan are subject to a four-year vesting schedule. One quarter of the option shares vested on November 22, 2001. The remaining option shares are vesting and will continue to vest proportionally each month over the 36 months following November 22, 2001. |
(3) | Options granted to the Reporting Person under the Issuer's 2001 Share Option Plan are subject to a five-year vesting schedule. One fifth of the option shares vested on August 6, 2004. The remaining option shares are vesting proportionally each month over the 48 months following August 6, 2004. |
(4) | Options granted to the Reporting Person under the Issuer's 2001 Share Option Plan are subject to a five-year vesting schedule. One fifth of the option shares will vest on September 16, 2005. The remaining option shares will vest proportionally each month over the 48 months following September 16, 2005. |