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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LUCIER GREGORY T 7475 LUSK BLVD SAN DIEGO, CA 92121 |
X |
/s/ Jason M. Hannon, Attorney-in-Fact for Gregory T. Lucier | 12/05/2013 | |
**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) | Represents an award of Restricted Stock Units granted pursuant to Issuers 2004 Equity Incentive Plan, as amended. The grant will vest in full on the second anniversary of the date of grant. Receipt of all of the underlying stock is deferred for four years from the date of grant. |
(2) | Represents an award of Restricted Stock Units granted pursuant to Issuers 2004 Equity Incentive Plan, as amended, which is equal to a prorated amount of the automatic RSU grant received by each of the Issuer's other non-employee directors on the date of the last stockholders meeting. The grant will vest in five successive monthly installments commencing from the date of grant with the entire unvested portion becoming vested in full as of the day immediately preceding the Issuer's next annual stockholders meeting. Receipt of all of the underlying stock is deferred for three years from the date of the Issuer's last stockholders meeting. |