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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 | ||||||||
Non-Qualified Stock Option (right to buy) | $ 0.4 | 04/20/2010 | M(1) | 75,000 | (6) | 06/03/2011 | Common Stock | 75,000 | $ 0 | 146,666 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Fishback Daniel R ONE FRANKLIN PARKWAY BUILDING 910 SAN MATEO, CA 94403 |
X | Chief Executive Officer |
By: Michael McAdam, Attorney in Fact For: Daniel Fishback | 04/20/2010 | |
**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) | Automatic same-day sale of a stock option (that is due to expire on June 3, 2011) effected pursuant to a Rule 10b5-1 Trading Plan adopted by the reporting person on October 22, 2009. |
(2) | Average sale price of $6.369 consists of the following blocks: 200 shares were sold at $6.29 per share, 1,754 at $6.30, 1,913 at $6.31, 5,792 at $6.32, 7,810 at $6.33, 202 at $6.335, 6,762 at $6.34, 11,982 at $6.35, 1,888 at $6.36, 2,097 at $6.37, 200 at $6.38, 5,100 at $6.39, 2,000 at $6.395, 13,700 at $6.40, 2,500 at $6.41, 1,100 at $6.415, 9,415 at $6.42, and 585 shares were sold at $6.43 per share. |
(3) | Shares held by the Annie Fishback Separate Share Irrevocable Trust |
(4) | Shares held by the Megan Fishback Separate Share Irrevocable Trust |
(5) | Shares held by the Fishback Family Revocable Trust u/d/t March 5, 2001, Daniel R. Fishback and Lady Bess Fishback, Trustees |
(6) | The stock option is fully vested and exercisable. |