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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 | ||||||||
Restricted stock units | (3) | 04/01/2009 | M | 18,248 | (3) | (3) | Common Stock | 18,248 | (3) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rodriguez Michael R C/O ENDOCARE, INC. 201 TECHNOLOGY DRIVE IRVINE, CA 92618 |
SVP, Finance & CFO |
/s/ Clint B. Davis, as attorney-in-fact | 04/02/2009 | |
**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) | March 31, 2009 was the "payout date" for a total of 3,941 vested deferred stock units (DSUs) granted to Mr. Rodriguez in 2007 under our Employee DSU Program. The vesting of these DSUs was previously reported in a Form 4 filed on March 10, 2008. This Form 4 reports the Company's withholding of 1,395 shares to cover taxes resulting from the issuance of the shares underlying the DSUs on the "payout date." |
(2) | Held by The Michael R. and Helen L. Rodriguez Family Trust dated November 10, 1999. |
(3) | A total of 18,248 restricted stock units (RSUs) granted to Mr. Rodriguez on October 8, 2008 vested on April 1, 2009. The original grant of these RSUs was reported in a Form 4 filed on October 10, 2008. |
(4) | A total of 7,855 shares were withheld by the Company to cover taxes resulting from the issuance of shares underlying the RSUs referred to above in footnote 3. |