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 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 | ||||
Stock Option Grant | 05/15/2013(1) | 05/15/2017 | Common Stock | 6,250 | $ 8.8 | D | |
Stock Option Grant | 05/15/2013(1) | 08/15/2017 | Common Stock | 4,167 | $ 6.49 | D | |
Stock Option Grant | 05/15/2013(1) | 11/15/2017 | Common Stock | 4,166 | $ 7.57 | D | |
Stock Option Grant | 05/15/2013(1) | 02/15/2018 | Common Stock | 6,250 | $ 8.6 | D | |
Stock Option Grant | 05/15/2014(2) | 06/15/2018 | Common Stock | 23,312 | $ 7.5 | D | |
Stock Option Grant | 06/17/2016(3) | 06/17/2020 | Common Stock | 39,823 | $ 3.9 | D | |
Stock Option Grant | 08/09/2017(4) | 08/12/2021 | Common Stock | 23,536 | $ 4.08 | D | |
Stock Option Grant | 08/15/2018(5) | 08/15/2022 | Common Stock | 56,274 | $ 1.84 | D | |
RSU Award | 08/09/2016 | (6) | Common Stock | 16,563 | $ 0 | D | |
RSU Award | 08/09/2017 | (7) | Common Stock | 17,887 | $ 0 | D | |
RSU Award | 08/15/2018 | (8) | Common Stock | 46,359 | $ 0 | D | |
RSU Award | 04/15/2017 | (9) | Common Stock | 35,879 | $ 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SMITH DARLA M ONE AMD PLACE SUNNYVALE, CA 94088 |
Chief Accounting Officer |
/s/ Darla M. Smith | 05/16/2016 | |
**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) | This option vested 33 1/3% on 5/15/2011 then remaining shares vest quarterly for the next two years. |
(2) | This option vested 33 1/3% on 5/15/2012 then remaining shares vest quarterly for the next two years. |
(3) | This option vested 33 1/3% on 6/17/2014 then remaining shares vest quarterly for the next two years. |
(4) | This option vested 33 1/3% on 8/9/2015 then remaining shares vest quarterly for the next two years. |
(5) | This option shall vest 33 1/3% on 8/15/2016 then remaining shares vest quarterly for the next two years. |
(6) | This restricted stock unit award vests 1/3 each on 8/9/2014, 8/9/2015 and 8/9/2016. |
(7) | This restricted stock unit award vests 1/3 each on 8/9/2015, 8/9/2016 and 8/9/2017. |
(8) | This restricted stock unit award vests 1/3 each on 8/9/2016, 8/9/2017 and 8/9/2018. |
(9) | This restricted stock unit award vests 100% on the first anniversary of the date of grant. |
Remarks: EXHIBIT LIST: EX-24 Form 3 - Darla Smith POA |