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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) | $ 1.7 | (1) | 07/01/2014 | Common Stock | 150,668 | 150,668 | D | ||||||||
Stock Option (right to buy) | $ 4.31 | (2) | 06/08/2015 | Common Stock | 63,197 | 63,197 | D | ||||||||
Stock Option (right to buy) | $ 4.31 | (3) | 09/13/2015 | Common Stock | 27,417 | 27,417 | D | ||||||||
Stock Option (right to buy) | $ 5.01 | 04/26/2006 | 04/26/2016 | Common Stock | 54,873 | 54,873 | D | ||||||||
Stock Option (right to buy) | $ 5.01 | (4) | 04/26/2016 | Common Stock | 40,000 | 40,000 | D | ||||||||
Stock Option (right to buy) | $ 6.49 | (5) | 12/13/2016 | Common Stock | 20,000 | 20,000 | D | ||||||||
Stock Option (right to buy) | $ 4.85 | (6) | 06/18/2017 | Common Stock | 25,000 | 25,000 | D | ||||||||
Stock Option (right to buy) | $ 2.73 | (7) | 12/12/2017 | Common Stock | 75,000 | 75,000 | D | ||||||||
Stock Option (right to buy) | $ 2.14 | (8) | 06/25/2018 | Common Stock | 60,000 | 60,000 | D | ||||||||
Stock Option (right to buy) | $ 0.7 | (9) | 05/13/2019 | Common Stock | 100,000 | 100,000 | D | ||||||||
Stock Option (right to buy) | $ 2.85 | 12/31/2009 | A | 50,000 | (11) | 12/31/2019 | Common Stock | 50,000 | $ 0 | 50,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BAGLEY RICHARD E ONE FIRST AVE, BUILDING 34 NAVY YARD PLAZA BOSTON, MA 02129 |
X | President, COO & Treasurer |
/s/ Richard E. Bagley | 01/05/2010 | |
**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) | 50,223 shares vest on each of 7/1/05 and 7/1/06; 50,222 shares vest on 7/1/07. |
(2) | 21,066 shares vest on each of 7/1/05 and 7/1/06; 21,065 shares vest on 7/1/07. |
(3) | 9,139 shares vest on each of 9/13/05, 7/1/06 and 7/1/07. |
(4) | 20,000 shares vest immediately; the remainder vest on 12/14/06. |
(5) | 6,667 shares vest on each of 12/13/07 and 12/13/08; 6,666 shares vest on 12/13/09. |
(6) | 8,334 shares vest on 6/18/08; 8,333 shares vest on each of 6/18/09 and 6/18/10. |
(7) | 25,000 shares vest on each of 12/12/08, 12/12/09 and 12/12/10. |
(8) | 20,000 shares vest on each of 6/25/2009, 6/25/2010 and 6/25/2011. |
(9) | 25,000 shares vest immediately; 25,000 shares vest on each of 8/13/2009, 11/13/2009 and 2/13/2010. |
(10) | Grant of restricted stock; restrictions lapse with respect to 16,667 shares on each of 12/31/2011 and 12/31/2012 and as to 16,666 shares on 12/31/2013. |
(11) | 16,667 shares vest on each of 12/31/2011 and 12/31/2012 and 16,666 shares vest on 12/31/2013. |