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 |
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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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Fasching Steven J. 250 COROMAR DRIVE GOLETA, CA 93117 |
 |  |  Chief Financial Officer |  |
/s/ Thomas Garcia for Steven Fasching as Attorney in Fact | 07/26/2018 | |
**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) | Includes (i) 1,846 time-based Restricted Stock Units (RSUs) which shares vest as to 50% on August 15, 2018 and 2019, (ii) 2,214 time-based Restricted Stock Units (RSUs) which shares vest as to 33.3% on August 15, 2018, 2019, and 2020, (iii) 1,107 performance-based Restricted Stock Units (PSUs) granted in June 2017, which shares vest as to 33.3% on August 15, 2018, 2019, and 2020, (iv) 1,011 time-based Restricted Stock Units (RSUs) which shares vest as to 33.3% on August 15, 2019, 2020, and 2021, and (v) 1,011 performance-based Restricted Stock Units (PSUs) granted in June 2018, which shares vest, if earned, as to 33.3% on August 15, 2019, 2020, and 2021 subject to the satisfaction of certain performance criteria. All RSUs and PSUs are settled in the Company Common Stock. |