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 Option (right to buy) | 12/01/1998(1) | 12/01/2007 | Common Stock | 437 | $ 1 | D | |
Employee Stock Option (Right to buy) | 11/01/1999(2) | 11/01/2008 | Common Stock | 4,500 | $ 2.5 | D | |
Employee Stock Option (Right to buy) | 05/01/2000(3) | 05/01/2009 | Common Stock | 12,750 | $ 0.33 | D | |
Employee Stock Option (Right to Buy) | 02/18/2001(4) | 02/18/2010 | Common Stock | 13,000 | $ 3.33 | D | |
Employee Stock Option (Right to buy) | 06/26/2003(5) | 06/26/2012 | Common Stock | 12,000 | $ 1.89 | D | |
Employee Stock Option (Right to Buy) | 01/26/2005(6) | 01/26/2014 | Common Stock | 75,000 | $ 2.36 | D | |
Employee Stock Option (Right to buy) | 09/09/2005(7) | 09/09/2014 | Common Stock | 25,000 | $ 1.58 | D | |
Employee Stock Option (Right to Buy) | 03/17/2006(8) | 03/17/2005 | Common Stock | 110,000 | $ 1.64 | D | |
Employee Stock Option (Right to Buy) | 10/31/2006(9) | 10/31/2015 | Common Stock | 100,000 | $ 2.43 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gilbreth Mark 21211 NORDHOFF STREET CHATSWORTH, CA 91311 |
EVP & Chief Operating Officer |
Mark Gilbreth | 05/01/2006 | |
**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) | This grant was originally for 3,000 shares which became exercisable as to 25% on December 1, 1998 and thereafter vests monthly for 36 months. |
(2) | This grant was originally for 12,000 shares which became exercisable as to 25% on November 1, 1999 and thereafter vests monthly for 36 months. |
(3) | This grant was originally for 36,000 shares which became exerciable as to 25% on May 1, 2000 and thereafter vests monthly for 36 months. |
(4) | This grant was originally for 18,000 shares which became exercisable as to 25% on Feburary 18, 2001 and thereafter vests monthly for 36 months. |
(5) | This grant became exercisable as to 25% on June 26, 2003 and thereafter vests monthly for 36 months. |
(6) | This grant became exercisable as to 25% on January 26, 2005 and thereafter vests monthly for 36 months. |
(7) | This grant became exercisable as to 25% on September 9, 2005 and thereafter vests monthly for 36 months. |
(8) | This grant became exercisable as to 25% on March 17, 2006 and thereafter vests monthly for 36 months. |
(9) | This grant becomes exercisable as to 25% on October 31, 2006 and thereafter vests monthly for 36 months. |