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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 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 | ||||||||
Nonqualified Stock Options | $ 0.576 | 07/01-06:00/2019 | A | 86,805 | (1) | 06/30-06:00/2029 | Common Stock | 86,805 | $ 0 | 1,069,888 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROSS STEVEN J 2040 MAIN STREET SUITE 225 IRVINE, CA 92614 |
X |
/s/ Steven J. Ross | 11/15-07:00/2019 | |
**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 nonqualified stock option vests in twelve equal quarterly installments, with the first quarterly installment vesting on September 30, 2019. |
(2) | The amended Form 4, filed on August 29, 2019, is being amended by this Form 4 amendment solely to correct an administrative error, which misreported the number of derivative securities beneficially owned following the reported transaction that occurred on July 1, 2019 as a total of 1,153,013 shares of the Issuer's common stock. As a result of this administrative error, the number of shares beneficially owned by the reporting person following the corrected transaction reflects a decrease in the number of shares reported as beneficially owned by the reporting person by 83,125 shares. |