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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
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) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy) | 07/31/2000(1) | 06/30/2010 | Common Stock | 2,000 | $ 3.625 | D | Â |
Stock Option (Right to Buy) | 05/17/2002(1) | 05/16/2012 | Common Stock | 3,500 | $ 7.03 | D | Â |
Stock Option (Right to Buy) | 05/30/2003(1) | 05/29/2013 | Common Stock | 3,500 | $ 7.86 | D | Â |
Stock Option (Right to Buy) | 01/27/2005(1) | 01/26/2015 | Common Stock | 1,503 | $ 10.45 | D | Â |
Stock Option (Right to Buy) | 07/20/2005(1) | 07/19/2015 | Common Stock | 1,327 | $ 11.3 | D | Â |
Stock Option (Right to Buy) | 04/26/2006(2) | 04/25/2013 | Common Stock | 8,170 | $ 12.37 | D | Â |
Series A Preferred Stock | Â (3) | Â (3) | Common Stock | 63,731 (4) | $ (3) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HOUSATONIC EQUITY INVESTORS LP/MA 44 MONTGOMERY STREET, SUITE 4010 SAN FRANCISCO, CA 94104 |
 |  X |  |  |
/s/ Aaron M. Grossman Attorney-in-Fact | 10/18/2006 | |
**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 is exercisable and vests over a five year period at a rate of 20% after one year of service from the date listed on the table, and the balance vesting in equal annual installments over the remaining 4 years. These options shall continue to vest as described above to the extent a representative of Housatonic Equity Investors, L.P. continues to perform services for the Company. |
(2) | This option is exercisable and vests over a three year period at a rate of 33 1/3% after one year of service from the date listed on the table, and the balance vesting in equal annual installments over the remaining 2 years. These options shall continue to vest as described above to the extent a representative of Housatonic Equity Investors, L.P. continues to perform services for the Company. |
(3) | The preferred stock is convertible at any time, at the holder's election, and automatically upon consummation of the Issuer's Initial Public Offering, on a twenty-for-one basis and has no expiration date. |
(4) | The shares listed on the table will convert into 1,274,620 shares of common stock at the holder's election and automatically upon the consummation of the Issuer's Initial Public Offering. |
 Remarks: Exhibit Index Exhibit 24 - Power of Attorney |