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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 | ||||||||
Series A Preferred Stock | (1) | 02/20/2014 | C | 48,333 | (1) | (1) | Common Stock | 49,159 | $ 0 | 0 | I | See footnote (2) | |||
Series B Preferred Stock | (1) | 02/20/2014 | C | 19,997 | (1) | (1) | Common Stock | 29,017 | $ 0 | 0 | I | See footnote (2) | |||
Series C Preferred Stock | (1) | 02/20/2014 | C | 5,125 | (1) | (1) | Common Stock | 8,867 | $ 0 | 0 | I | See footnote (2) | |||
Series D Preferred Stock | (1) | 02/20/2014 | C | 18,484 | (1) | (1) | Common Stock | 34,740 | $ 0 | 0 | I | See footnote (2) | |||
Series C Preferred Stock | (1) | 02/20/2014 | C | 13,564 | (1) | (1) | Common Stock | 23,467 | $ 0 | 0 | I | See footnote (3) | |||
Series D Preferred Stock | (1) | 02/20/2014 | C | 333 | (1) | (1) | Common Stock | 626 | $ 0 | 0 | I | See footnote (3) | |||
Series E Preferred Stock | (1) | 02/20/2014 | C | 833 | (1) | (1) | Common Stock | 2,243 | $ 0 | 0 | I | See footnote (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cooper Stephen E. 326 BOLLAY DRIVE GOLETA, CA 93117 |
X |
/s/ Alison Bauerlein, as Attorney-in-Fact | 02/21/2014 | |
**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) | Each share of (i) Series A Preferred Stock will automatically convert into 1.017087063 shares of the Issuer's Common stock, (ii) Series B Preferred Stock will automatically convert into 1.451080982 shares of the Issuer's Common Stock, (iii) Series C Preferred Stock will automatically convert into 1.730144671 shares of the Issuer's Common Stock, (iv) Series D Preferred Stock will automatically convert into 1.879505664 shares of the Issuer's Common Stock, and (v) Series E Preferred Stock will automatically convert into 2.692436975 shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date. |
(2) | Shares held by Stephen E. Cooper and Susan D. Cooper, as trustees of the Cooper Revocable Trust dated July 26, 1996. |
(3) | Shares held by the Stephen E. Cooper Family Partnership in which the reporting person is the General Partner and has voting and dispositive power over such shares. |