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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 | ||||||||
Stock Option (Right to Buy) | $ 14.1 | 05/15/2008(2) | 05/15/2015 | Common Stock | 22,500 | 22,500 | D | ||||||||
Stock Option (Right to Buy) | $ 15.3 | 06/20/2006(3) | 06/20/2013 | Common Stock | 30,000 | 30,000 | D | ||||||||
Stock Option (Right to Buy) | $ 27 | 02/07/2007(3) | 02/07/2014 | Common Stock | 17,500 | 17,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Scherp Christian 4000 MACARTHUR BLVD. NEWPORT BEACH, CA 92660 |
President |
/s/ Jasmina T. Boulanger, Attorney-in-fact, Christian Scherp | 01/06/2009 | |
**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) | On April 14, 2008, the reporting person was granted a Performance Share Award-Time Vested, for 25,000 shares (adjusted for 1-for-10 reverse stock split which became effective on June 30, 2008). The Award vested in full on January 2, 2009, and was settled in net shares. This number represents the shares withheld to satisfy the reporting person's tax obligation. |
(2) | Options become exercisable in whole or part (but only in whole number shares) as to 50% of the option shares on the first anniversary of the grant and 25% on each of the second and third anniversaries of the grant. |
(3) | Options become exercisable in whole or part (but only in whole number shares) as to one-fourth of the option shares on this date and as to an additional one-fourth of the option shares beginning on the first, second and third anniversaries thereof. |