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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Smith James M. FOUR EMBARCADERO CENTER, SUITE 3200 SAN FRANCISCO, CA 94111 |
Chief Technology Officer |
/s/ S. Ryan Black, attorney-in-fact | 02/13/2014 | |
**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) | Reflects an award of Restricted Stock Units in the Issuer. Vested Restricted Stock Units will be settled for an equivalent number of shares of common stock of the Issuer. Twenty-five percent (25%) of these units will vest on February 27, 2015, an additional fifty percent (50%) will vest on February 27, 2016, and the remaining twenty-five percent (25%) will vest on February 27, 2017. |
(2) | Reflects a restricted stock award initially granted on February 11, 2013 that was subject to a performance-based vesting condition, which performance-based vesting condition was satisfied on February 11, 2014. This award is also subject to time-based vesting, pursuant to which 20% of the shares will vest on February 27, 2014, 20% will vest on February 27, 2015, 30% will vest on February 27, 2016 and 30% will vest on February 27, 2017. |