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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 Options (Right to buy) | $ 97.23 | (3) | 07/09/2022 | Common Stock | 50,000 | 50,000 | D | ||||||||
Stock Options (Right to buy) | $ 97.23 | (4) | 07/09/2022 | Common Stock | 15,000 | 15,000 | D | ||||||||
Stock Options (Right to buy) | $ 88.23 | (5) | 01/04/2023 | Common Stock | 10,000 | 10,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gould Kevin S 2948 WAUNETA STREET NEWBURY PARK, CA 91320 |
SVP Clinical Controls |
/s/ Brenda S. Furlow, attorney in fact for Kevin Gould pursuant to Power of Attorney filed here with | 07/12/2016 | |
**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) | 1. The reporting person has elected to satisfy his tax withholding obligation in connection with the vesting of a prior restricted stock unit gran by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grant. |
(2) | 2. Includes 833 shares of restricted stock units that vest on 7/9/17 and 834 shares of restricted stock units that vest on 7/9/18. |
(3) | 4. 50,000 common stock options vest if certain performance goals are achieved for the 12 months ending 05/31/2018. |
(4) | 3. Vests as to 3,750 shares on each of 07/09/16, 07/09/17, 07/09/18 and 07/09/19. |
(5) | 5. Vests as to 2,500 shares on each of 01/04/2017, 01/04/2018, 01/04/2019 and 01/04/2020. |