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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
THOMPSON JAMES H 5775 MOREHOUSE DR. SAN DIEGO, CA 92121-1714 |
EVP, Engineering & CTO |
By: David Zuckerman, Attorney For: James H. Thompson | 08/23/2018 | |
**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) | Dr. Thompson and his wife transmuted their community property interest in 90,906 shares to 45,453 shares as the separate property of Dr. Thompson and 45,453 shares as the separate property of his wife. |
(2) | Includes 187 shares acquired under the Company's Employee Stock Purchase Plan on July 31, 2018. |
(3) | In connection with an estate tax planning transaction, Dr. Thompson transferred 45,453 shares to a grantor trust which issued an unsecured promissory note to Dr. Thompson. Dr. Thompson, his spouse and children are the beneficiaries of the grantor trust. |
(4) | Shares are held in individual trusts for the benefit of Dr. Thompson's children. Dr. Thompson disclaims all beneficial ownership for the shares held in trusts for the benefit of his children. |
(5) | In connection with an estate planning transaction, Dr. Thompson's spouse transferred 45,453 shares to a separate grantor trust which issued an unsecured promissory note to the spouse. Dr. Thompson, his spouse and their children are beneficiaries of the grantor trust. |
(6) | Securities held by Premier Trust, as trustee. |