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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) | $ 16.38 | 05/31/2013 | A | 1,898 | (1) | 05/31/2018 | Class A Common Stock | 1,898 | $ 16.38 | 1,898 | D (2) | ||||
Restricted Stock Units (3) | $ 0 | 05/31/2013 | A | 1,602 | (4) | (4) | Class A Common Stock | 1,602 | $ 0 | 1,602 | D (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
EDISON VENTURE FUND IV LP 1009 LENOX DRIVE #4 LAWRENCEVILLE, NJ 08648 |
X | |||
MARTINSON ROSS T C/O EDISON VENTURE FUND 1009 LENOX DRIVE #4 LAWRENCEVILLE, NJ 08648 |
X | |||
ALLEGRA JOSEPH A C/O EDISON VENTURE FUND 1009 LENOX DRIVE #4 LAWRENCEVILLE, NJ 08648 |
X | |||
MARTINSON JOHN H C/O EDISON VENTURE FUND 1009 LENOX DRIVE #4 LAWRENCEVILLE, NJ 08648 |
X | |||
Edison Partners IV LP 1009 LENOX DRIVE #4 LAWRENCEVILLE, NJ 08648 |
X |
/s/ Ross T. Martinson, General Partner of Edison Partners IV, L.P., the General Partner of Edison Venture Fund IV, L.P. | 12/10/2013 | |
**Signature of Reporting Person | Date | |
/s/ Ross T. Martinson | 12/10/2013 | |
**Signature of Reporting Person | Date | |
/s/ Ross T. Martinson, Attorney-in-Fact of Joseph A. Allegra | 12/10/2013 | |
**Signature of Reporting Person | Date | |
/s/ Ross T. Martinson, Attorney-in-Fact of John H. Martinson | 12/10/2013 | |
**Signature of Reporting Person | Date | |
/s/ Ross T. Martinson, General Partner | 12/10/2013 | |
**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 option was originally scheduled to vest in full on November 30, 2013, subject to Mr. Gary P. Golding's continuous service as a director of the issuer as of the applicable vesting date. Mr. Golding's service as a director of the issuer concluded at the 2013 annual meeting of the stockholders held on November 14, 2013. As a result, this option did not vest and was cancelled for no additional consideration. |
(2) | The securities are held by Edison Venture Fund IV, L.P. ("Edison Venture"). Edison Partners IV, L.P. ("Edison Partners") is the general partner of Edison Venture. Joseph A. Allegra, Gary P. Golding, John H. Martinson and Ross T. Martinson are general partners of Edison Partners and may be deemed to beneficially own the shares held by Edison Venture. Mr. Golding is a former director of the issuer and has, therefore, filed separate reports under Section 16. Each reporting person disclaims beneficial ownership of the securities reported herein except to the extent of his or its respective pecuniary interest therein. |
(3) | The restricted stock units were granted to Edison Venture in respect of Mr. Golding's service as a director of the issuer. Each restricted stock unit represents a contingent right to receive one share of Class A Common Stock of the issuer. |
(4) | The restricted stock units were originally scheduled to vest in full on November 30, 2014, subject to Mr. Golding's continuous service as a director of the issuer as of the applicable vesting date. Mr. Golding's service as a director of the issuer concluded at the 2013 annual meeting of the stockholders held on November 14, 2013. As a result, these restricted stock units did not vest and were cancelled for no additional consideration. |