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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) | $ 9.2 | 11/06/2012 | M | 69,191 | (1) | 12/21/2012 | Common Stock | 69,191 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
VOELKER JAMES 601 108TH AVENUE NE, SUITE 1200 BELLEVUE, WA 98004 |
X |
/s/ Linda Schoemaker, as Attorney-in-Fact | 11/06/2012 | |
**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 initial grant of a stock option for 600,000 shares of common stock vested as follows: 120,000 shares subject to the option vested on December 21, 2002; 240,000 shares subject to the option vested on December 21, 2003; and the remaining 240,000 shares subject to the option vested monthly thereafter for the next 36 months, such that the option was fully vested on December 21, 2006. |
(2) | The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan originally adopted by the reporting person on February 28, 2012, and amended on May 30, 2012. After the transaction reported on this Form 4, no shares remained available for sale under the Rule 10b5-1 trading plan, and the plan expired. |
(3) | These shares sold at prices ranging from $15.00 to $15.75 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. |