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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
STEELE JEANNA 225 BUSH STREET, SUITE 1400 SAN FRANCISCO, CA 94104 |
General Counsel |
/s/ Jay Maloney, Attorney-in-Fact | 10/01/2019 | |
**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) | As of May 21, 2018, included 4,375 restricted stock units ("RSUs"), out of an original grant of 10,000 RSUs. Each RSU represents a contingent right to receive one share upon settlement. 25% of these RSUs vested on February 11, 2017, and the remaining RSUs vest in equal quarterly installments thereafter, subject to the Reporting Person's continued service through each vesting date. |
(2) | As of May 21, 2018, included 7,500 RSUs, out of an original grant of 15,000 RSUs. Each RSU represents a contingent right to receive one share upon settlement. 25% of these RSUs vested on May 5, 2017, and the remaining RSUs vest in equal quarterly installments thereafter, subject to the Reporting Person's continued service through each vesting date. |
(3) | As of May 21, 2018, included 6,328 RSUs, out of an original grant of 21,700 RSUs. Each RSU represents a contingent right to receive one share upon settlement. 1/24 of these RSUs vested on January 1, 2017, and the remaining RSUs vest in equal monthly installments thereafter, subject to the Reporting Person's continued service through each vesting date. |
(4) | As of May 21, 2018, included 4,350 RSUs, out of an original grant of 5,800 RSUs. Each RSU represents a contingent right to receive one share upon settlement. 25% of these RSUs vested on March 15, 2018, and the remaining RSUs vest in equal quarterly installments thereafter, subject to the Reporting Person's continued service through each vesting date. |
(5) | As of May 21, 2018, included 18,600 RSUs, out of an original grant of 18,600 RSUs. Each RSU represents a contingent right to receive one share upon settlement. 25% of these RSUs vest on March 15, 2019, and the remaining RSUs vest in equal quarterly installments thereafter, subject to the Reporting Person's continued service through each vesting date. |
Remarks: This amendment to the Form 3 filed on May 31, 2018 is being filed to correct the amount of securities beneficially owned as of the date the Reporting Person became a Section 16 officer, which inadvertently overstated the number of RSUs and shares of common stock held as of such date due to an administrative error. |