UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Options (right to buy) | 06/11/2014(1) | 06/11/2023 | Common Stock | 125,000 | $ 4.5 | D | |
Employee Stock Options (right to buy) | 10/02/2014(2) | 10/02/2023 | Common Stock | 62,500 | $ 2.83 | D | |
Employee Stock Options (right to buy) | 07/02/2015(3) | 07/02/2024 | Common Stock | 50,000 | $ 4 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BROWN KIRSTIE ELIZABETH 2811 CAHUENGA BOULEVARD WEST LOS ANGELES, CA 90068 |
Head, Global Fin. Obligations |
/s/ Kirstie E. Brown | 09/30/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Options granted on June 11, 2013, vest one-third on June 11, 2014, 2015 and 2016 and will be fully vested as of June 11, 2016. |
(2) | Options granted on October 2, 2013, vest one-third on October 2, 2014, 2015 and 2016 and will be fully vested as of October 2, 2016. |
(3) | Options granted on July 2, 2014, vest one-third on July 2, 2015, 2016 and 2017 and will be fully vested as of July 2, 2017. |
Remarks: Reporting Person is the principal accounting officer of Issuer. |