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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 | ||||||||
Non-Qualified Stock Option (right to buy) | $ 0.92 | 07/02/2010 | M(3) | 128,911 | (4) | 02/10/2019 | Common Stock | 128,911 | $ 0 | 221,089 | D | ||||
Incentive Stock Option (right to buy) | $ 1.09 | 02/08/2009(5) | 02/08/2018 | Common Stock | 366,972 | 366,972 | D | ||||||||
Incentive Stock Option (right to buy) | $ 1.45 | 02/09/2011(6) | 02/09/2020 | Common Stock | 68,965 | 68,965 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 1.09 | 02/08/2009(6) | 02/08/2018 | Common Stock | 300,028 | 300,028 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 1.45 | 02/09/2011(6) | 02/09/2020 | Common Stock | 531,035 | 531,035 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hudson Leslie 3450 MONTE VILLA PARKWAY, SUITE 101 BOTHELL, WA 98021 |
Former CEO | Former CEO |
By: Melinda Miles For: Dr. Leslie Hudson | 07/07/2010 | |
**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 Restricted Stock Holder has elected to pay for payroll taxes for restricted stock awards by way of a stock swap of a total 21,427 restricted stock awards for the 124,324 restricted stock awards granted in 2009. The remaining 102,897 remains with the optionee. |
(2) | The Restricted Stock Holder has elected to pay for payroll taxes for restricted stock awards by way of a stock swap of a total 51,338 restricted stock awards for the 333,000 restricted stock awards granted in 2008. The remaining 281,662 remains with the optionee. |
(3) | This transaction was a Same Day Sale. The optionholder exercised 128,911 Non-Qualified Options and the shares were sold on the same day. |
(4) | The original option vested 1/3 each year over 3 years. On 4/20/2010, the option had 116,667 fully vested shares and the Company approved a vesting acceleration of the remaining 233,333 shares. |
(5) | Option Grant vests 25% per year on grant date with all shares vesting four years from date of grant. |
(6) | The Stock Option Grant vest as follows: 1/3 vest one year from date of grant and 1/3 each year thereafter until all shares vest three years from grant date. |