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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 | ||||||||
Deferred Stock Units (3) | (3) | 04/06/2009 | M | 16,669 | 04/06/2009 | 04/06/2009 | Common Stock | 16,669 | (3) | 24,141 (4) | D | ||||
Restricted Stock Units (5) | (5) | 04/06/2009 | M | 9,203 | 04/06/2009 | 04/06/2009 | Common Stock | 9,203 | (5) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NOONAN TERRENCE A C/O ENDOCARE, INC. 201 TECHNOLOGY DRIVE IRVINE, CA 92618 |
Former Director |
/s/ Clint B. Davis, as attorney-in-fact | 04/08/2009 | |
**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) | April 6, 2009 was the "payout date" for a total of 16,669 shares underlying Mr. Noonan's deferred stock units (DSUs), as a result of Mr. Noonan's resignation from Endocare's Board of Directors on that date. |
(2) | April 6, 2009 was the "payout date" for a total of 9,203 shares underlying Mr. Noonan's restricted stock units (RSUs), as a result of Mr. Noonan's resignation from Endocare's Board of Directors on that date. 2,061 of these RSUs were vested prior to Mr. Noonan's resignation. The Board of Directors decided to accelerate the vesting of the remaining 7,142 RSUs upon Mr. Noonan's resignation. These 7,142 RSUs would otherwise have vested on May 15, 2009. |
(3) | Each DSU reflects the right to receive one share of Endocare's common stock upon the "payout date" applicable to such DSU. |
(4) | The shares underlying the remaining 24,141 DSUs are to be issued on December 31, 2009. |
(5) | Each RSU reflects the right to receive one share of Endocare's common stock upon the "payout date" applicable to such RSU. |