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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 | ||||||||
Stock Option (Right to Buy) | $ 7.1 | 04/07/2010 | M | 11,667 | (4) | 05/11/2016 | Common Stock | 11,667 | $ 0 | 93,333 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
EMANS ERIC MICHAEL 601 108TH AVENUE NE, SUITE 1200 BELLEVUE, WA 98004 |
Chief Accounting Officer |
/s/ Eric Michael Emans | 04/08/2010 | |
**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) | The sale was effected pursuant to a Rule 10b5-1 trading plan initially adopted by the reporting person on February 25, 2010. The plan provides for the sale of a maximum of approximately 82,015 shares of common stock (based on estimated tax withholding upon RSU vesting). After the last transaction reported on this Form 4, a maximum of approximately 61,649 shares remain available for sale under the plan (based on estimated tax withholding upon RSU vesting). The plan expires on the earlier of February 28, 2011, or the date all shares under the plan are sold. |
(2) | These shares sold at prices ranging from $11.22 to $11.48 per share. Upon request by the SEC staff, the issuer or any security holder of the issuer, the reporting person will provide full information regarding the number of shares sold at each separate price. |
(3) | These shares sold at prices ranging from $10.93 to $11.22 per share. Upon request by the SEC staff, the issuer or any security holder of the issuer, the reporting person will provide full information regarding the number of shares sold at each separate price. |
(4) | The initial grant of a stock option for 105,000 shares of common stock vests according to the following schedule: approximately 33.3% vested on April 1, 2010, and approximately 16.7% vests at the end of each six-month period thereafter, such that the stock option will be fully vested on April 1, 2012. |