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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 | ||||||||
Incentive Stock Option (Right to Buy) | $ 3.7 | 01/07/2015 | 04/30/2021 | Common Stock | 37,000 | 37,000 | D | ||||||||
Common Stock Warrant (Right to Buy) | $ 23.4 | 12/16/2013 | 12/16/2017 | Common Stock | 3,810 | 3,810 | I (4) | By Global Venture Investments, LLC | |||||||
Non-Qualified Stock Option (Right to Buy) | $ 5.1 | 12/18/2012 | 04/30/2021 | Common Stock | 34,827 | 34,827 | D | ||||||||
Incentive Stock Option (Right to Buy) | $ 5.1 | 12/18/2012 | 04/30/2021 | Common Stock | 4,254 | 4,254 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ingriselli Frank C 4125 BLACKHAWK PLAZA CIRCLE SUITE 201 DANVILLE, CA 94506 |
Non-Executive Chairman |
/s/ Frank Ingriselli | 12/05/2017 | |
**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) | Common stock shares were transferred pursuant to a charitable gift in a private transaction. |
(2) | Shares were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person with respect to the sale of vested shares which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-13(d). |
(3) | Reporting Person's holdings include: 13,371 held by spouse, 36,893 held directly, 14,546 shares issued pursuant to a restricted stock grant and 89,650 vested shares held by Global Venture Investments, Inc., an entity 100% owned and controlled by Reporting Person. |
(4) | Global Venture Investments, LLC is an entity 100% owned and controlled by Reporting Person. |