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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 | ||||||||
Restricted Stock Unit Award | $ 0 (4) | 02/28/2018 | A | 18,266 | 02/28/2018(5) | 02/28/2018 | Common Stock | 18,266 | $ 0 | 18,266 | D | ||||
Restricted Stock Unit Award | $ 0 (5) | 02/28/2018 | D | 18,266 | 02/28/2018 | 02/28/2018 | Common Stock | 18,266 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Baker Cary 1501 FIRST AVENUE SOUTH SUITE 600 SEATTLE, WA 98134 |
SVP, CFO & Treasurer |
/s/ Michael Parham, attorney-in-fact | 03/02/2018 | |
**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) | Vested restricted stock units were distributed to the reporting person, without payment, in shares of common stock on a unit-for-share basis. |
(2) | Shares deemed surrendered in payment of the tax liability resulting from the vesting of restricted stock units (in accordance with Rule 16b-3(d) and Note (3)). |
(3) | Represents the weighted average purchase price. The highest price at which these securities were purchased was $3.00 and the lowest price at which these securities were purchased was $2.85. |
(4) | Each restricted stock unit represents a contingent right to receive one share of RealNetworks common stock. |
(5) | The restricted stock units were fully vested at the time of grant. |