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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 | ||||||||
Performance Shares | $ 0 | 11/15/2017 | 11/15/2017 | M | 6,670 | 11/15/2017(3) | 08/15/2019 | Common Stock | 6,670 | $ 0 (4) | 46,690 | D | |||
RSU Award | $ 0 | 11/15/2017 | 11/15/2017 | M | 6,670 | 11/15/2017(5) | 08/15/2019 | Common Stock | 6,670 | $ 0 (4) | 46,690 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gault Robert J 6480 VIA DEL ORO SAN JOSE, CA 95119 |
EVP Worldwide Sales Services a |
Quentin Wright, Power of Attorney | 11/17/2017 | |
**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) | Represents shares withheld from the Performance Based RSU award for the payment of applicable income and payroll withholding taxes due on release. |
(2) | Represents shares withheld from the RSU award for the payment of applicable income and payroll withholding taxes due on release. |
(3) | Performance grants were earned when EXTR shares reached $5.00 per share for 30 consecutive trading days after January 1st 2017. Shares vest on the same schedule as the Time-Based RSUs granted at the same time. See note #5 below. |
(4) | This is not an applicable reportable field for this type of grant. |
(5) | This Time Based RSU award vests from the original grant date as to 1/3 on the one year anniversary and 1/12 each quarter thereafter. |