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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 | $ 4.28 | 10/03/2005 | M | 43,750 | 02/19/2004(1) | 02/19/2013 | Common | 43,750 | $ 4.28 | 0 | D | ||||
Stock Options | $ 12.89 | 02/17/2005(2) | 02/17/2014 | Common | 100,000 | 100,000 | D | ||||||||
Stock Options | $ 10.132 | 10/03/2005 | M | 276,000 | 09/27/2003(3) | 09/27/2011 | Common | 276,000 | $ 10.132 | 0 | D | ||||
Stock Options | $ 6.5 | 10/03/2005 | M | 50,000 | 09/16/2004(4) | 09/16/2013 | Common | 50,000 | $ 6.5 | 0 | D | ||||
Stock Options | $ 10.87 | 05/20/2007(5) | 05/20/2015 | Common | 4,000 | 4,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROEDER ROSS E 600 CITADEL DR. COMMERCE, CA 91739 |
X |
Ross E. Roeder | 10/05/2005 | |
**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) | Previously reported options. One-third of the options became exercisable on Feb. 19 in each of 2004 and 2005 and one-third will become exercisable on Feb. 19, 2006. |
(2) | Previously reported options. One-third of the options became exercisable on February 17, 2005 and one-third will become exercisable on February 17 in each of 2006 and 2007. |
(3) | Previously reported options. One-third of the options became exercisable on September 27 in each of 2003, 2004 and 2005. |
(4) | Previously reported options. One-third of the options became exercisable on Sept. 16 in each of 2004 and 2005 and one-third will become exercisable on Sept. 16, 2006. |
(5) | Peviously reported options. One-third of the options will become exercisable on May 20 in each of 2007, 2008 and 2009 |
(6) | 260,671 shares of the Company's common stock previously held by Mr. Roeder (comprised of 196,250 shares directly held by Mr. Roeder and 64,421 shares previously reported as deferred smart shares) were returned to the Company and accepted as payment of the exercise price for the option exercises reported hereon. In addition, 25,750 shares resulting from Mr. Roeder's option exercises were retained by the Company in payment of the applicable payroll taxes. |