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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 | ||||||||
Employee Stock Option (right to buy) | $ 2.03 | 05/14/2015 | M | 7,684 (1) | (4) | 09/27/2020 | Common Stock | 7,684 | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 2.03 | 05/14/2015 | M | 7,316 (1) | (5) | 06/05/2022 | Common Stock | 7,316 | $ 0 | 27,043 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lubner David Charles 480 ARSENAL ST. SUITE 110 WATERTOWN, MA 02472 |
SVP and CFO |
/s/Maria Stahl as Attorney-in-Fact for David Lubner | 05/18/2015 | |
**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 exercise and sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 13, 2015. |
(2) | The amount of securities beneficially owned by the reporting person following the transaction reported on this Form 4 reflects the purchase by the reporting person of 402 shares of common stock on November 17, 2014 and 405 shares of common stock on May 14, 2015. Both of these purchases were done under the issuer's 2014 Employee Stock Purchase Plan ("ESPP"). The shares purchased in November 2014 under the ESPP were inadvertently omitted from the amount of securities beneficially owned that were reported on the Form 4 filed by the reporting person on January 9, 2015. |
(3) | The price reported represents the weighted average sales price of shares sold in multiple transactions at prices ranging from $38.03 to $39.89 per share. The reporting person hereby undertakes, upon request of the staff of the U.S. Securities and Exchange Commission, the issuer, or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. |
(4) | This option is fully vested. |
(5) | This option vests as to 6.25% of the shares on September 6, 2012 and further vests as to 6.25% of the shares at the end of each of successive three-month period thereafter until June 6, 2016. |