3: Initial statement of beneficial ownership of securities
Published on April 8, 2014
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 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 | ||||
Employee Stock Option (right to buy) | (2) | 12/21/2022 | Common Stock | 125,000 | $ 0.312 | D | |
Stock Option (right to buy) | (3) | 08/12/2023 | Common Stock | 625,000 | $ 2.7 | D | |
Warrant (right to buy) | 12/21/2012 | 12/21/2017 | Common Stock | 43,750 | $ 0.312 | I | By Lubna Qureishi (wife) |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ALI NADIR 3375 SCOTT BOULEVARD, SUITE 440 SANTA CLARA, CA 95054 |
X | Chief Executive Officer |
Signatures
/s/ Nadir Ali | 04/08/2014 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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) | The shares are held directly by the Qureishi Ali Grandchildren Trust (the "Ali Grandchildren Trust"). The Reporting Person is a trustee of the Ali Grandchildren Trust and may be deemed to share voting and dispositive power with regard to the reported shares held by the Ali Grandchildren Trust. |
(2) | This option is exercisable at any time. |
(3) | This option vests in four equal annual installments beginning on August 14, 2015, through August 14, 2018. |