UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option (to Buy) | 12/10/2013 | 12/10/2020 | Common Stock | 10,000 | $ 7.5 | D (3) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rizzi John 4695 MACARTHUR COURT, SUITE 1200 NEWPORT BEACH, CA 92660 |
 |  |  VP, Director of Manufacturing |  |
/s/ John Rizzi | 03/01/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | These shares are subject to a Restricted Stock Agreement dated as of August 15, 2011 which provides for vesting of the entire amount on August 15, 2014 |
(2) | These shares are subject to a Restricted Stock Agreement dated as of March 22, 2012 which provides for vesting of the entire amount on March 22, 2015 |
(3) | These shares are subject to an Incentive Stock Option Agreement dated as of December 10, 2010 which provides for vesting of the shares on the third anniversary of the award |