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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 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 | |
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 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 sales reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan. |
(2) | On 8/16/18, the Reporting Person filed a Form 4 to report the sale of 8,312 shares of stock; however, such report incorrectly stated the number of shares held following the transaction. The total amount of securities beneficially owned following the reported transaction was listed as 94,289 shares, inclusive of 8,151 shares previously acquired under an employee stock purchase plan (described in Footnote 2 to such report). In fact, the referenced 8,151 shares were acquired prior to the date on which the Reporting Person became a Section 16 officer and should not have been included in the 8/16/18 report as newly acquired shares. Additionally, as reported on a Form 4 filed on 10/1/19, the share totals in the Reporting Person's Forms 4 prior to 10/1/19 did not reflect the forfeiture of shares in connection with the vesting of certain restricted stock units described therein. As reported in this amendment, the amount of securities beneficially owned on 8/16/18 was in fact 59,867. |