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, 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. | 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 | ||||
Common Stock Option, right to buy (3) | Â (1) | 08/10/2025 | Common Stock | 5,000 | $ 2.97 | D | Â |
Common Stock Option, right to buy (3) | Â (2) | 04/06/2027 | Common Stock | 20,000 | $ 0.85 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dykes Dennis 820 RIVERSIDE PARKWAY WEST SACRAMENTO, CA 95605 |
 |  |  CAO |  |
Dennis Dykes | 04/02/2017 | |
**Signature of Reporting Person | Date |
* | 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 option was vested and exercisable as to 3,058 shares as of June 21, 2017, and vests and becomes exercisable as to the remaining shares in equal monthly installments ending August 10, 2018. |
(2) | The option vests and becomes exercisable in four equal annnual installments ending April 6, 2021. |
(3) | This Form 3/A amends the Form 3 for Mr. Dykes filed June 28, 2017, to add the options listed. |