4: Statement of changes in beneficial ownership of securities
Published on May 3, 2016
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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) |
(e.g., puts, calls, warrants, options, convertible securities)
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 | ||||||||
Stock Option (Right to Buy) | $ 1.45 | 04/29/2016 | X | 3,334 | 05/20/2012 | 05/20/2016 | Common Stock | 3,334 | $ 1.45 | 0 | D | ||||
Stock Option (Right to Buy) | $ 1.1 | 10/14/2012(1) | 10/14/2016 | Common Stock | 3,334 | 3,334 | D | ||||||||
Stock Option (Right to Buy) | $ 1.69 | 04/12/2012(2) | 04/12/2017 | Common Stock | 6,250 | 6,250 | D | ||||||||
Stock Option (Right to Buy) | $ 3.76 | 04/16/2014(3) | 04/16/2018 | Common Stock | 7,500 | 7,500 | D | ||||||||
Stock Option (Right to Buy) | $ 3.45 | 03/05/2015(4) | 03/05/2019 | Common Stock | 15,000 | 15,000 | D | ||||||||
Stock Option (Right to Buy) | $ 4.78 | 05/04/2016(5) | 05/04/2020 | Common Stock | 120,000 | 120,000 | D | ||||||||
Stock Option (Right to Buy) | $ 7.15 | 04/20/2016 | A | 50,000 | 04/20/2017(6) | 04/20/2021 | Common Stock | 50,000 | $ 7.15 | 50,000 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BALLIET JENNIFER 12701 COMMONWEALTH DRIVE SUITE 9 FORT MYERS, FL 33913 |
VP of Human Resources |
Signatures
/s/Jennifer Balliet | 05/03/2016 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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) | On October 14, 2011, Jennifer Balliet was granted 10,000 stock options. The options vest ratably over the first three anniversaries of the grant date. Jennifer Balliet has exercised 6,666 of these options and she currently has 3,334 options available to exercise. |
(2) | On April 12, 2012, Jennifer Balliet was granted 12,500 stock options. One quarter of these options vested immediately and the remaining options vested on the next three anniversary dates of the grant date. Jennifer Balliet has exercised 6,250 of these options and has 6,250 options available to exercise. |
(3) | On April 16, 2013, Jennifer Balliet was granted 7,500 stock options. These options vest ratably over the first three anniversary dates of the grant date. |
(4) | On March 5, 2014, Jennifer Balliet was granted 15,000 stock options. The options vest ratably over the first three anniversary dates of the grant date. |
(5) | On May 4, 2015, Jennifer Balliet was granted 120,000 stock options. The options vest ratably over the first three anniversary dates of the grant date. |
(6) | On April 20, 2016, Jennifer Balliet was granted 50,000 stock options. These options vest ratably over the first three anniversary dates of the grant date. |