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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 | ||||||||
Non-Qualified Stock Option (Right to Buy) | $ 5.42 | 02/26/2016 | M | 5,000 | (2) | 06/13/2022 | Common Stock | 5,000 | (3) | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 6.14 | 02/26/2016 | M | 10,000 | (4) | 06/14/2023 | Common Stock | 10,000 | (3) | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 7.9 | 02/26/2016 | M | 7,500 | (5) | 06/18/2024 | Common Stock | 7,500 | (3) | 7,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Christensen Susan I. 711 WEST WALNUT STREET COMPTON, CA 90220 |
VP Sales/Infant Products Div |
/s/ Olivia Elliott on behalf of Susan I. Christensen | 03/01/2016 | |
**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) | This transaction represents the withholding of 19,580 shares of common stock to satisfy the exercise price and tax withholding obligations incurred by the Reporting Person upon the exercise of the options granted to the Reporting Person on each of June 13, 2012, June 14, 2013 and June 18, 2014. |
(2) | The options were granted on June 13, 2012 and vested as follows: (a) 5,000 shares on June 13, 2013, which were exercised on July 30, 2013; and (b) 5,000 shares on June 13, 2014. |
(3) | Derivative securities represent the grant of a stock option for services as an officer of Issuer. |
(4) | The options were granted on June 14, 2013 and vested as follow: (a) 5,000 shares on June 14, 2014; and (b) 5,000 shares on June 14, 2015. |
(5) | The options were granted on June 18, 2014 and vest as follows: (a) 7,500 shares on June 18, 2015; and (b) 7,500 shares on June 18, 2016. |