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 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 | ||||
Stock Appreciation Right | 02/28/2008(1) | 02/28/2018 | Common Stock | 1,000 | $ 21.57 | D | |
Stock Appreciation Right | 02/27/2009(2) | 02/27/2019 | Common Stock | 6,000 | $ 6.82 | D | |
Stock Appreciation Right | 02/27/2009(3) | 02/27/2019 | Common Stock | 15,000 | $ 6.82 | D | |
Stock Appreciation Right | 05/07/2010(4) | 05/07/2020 | Common Stock | 5,032 | $ 22.94 | D | |
Stock Appreciation Right | 05/18/2011(5) | 05/18/2021 | Common Stock | 4,167 | $ 53.29 | D | |
Stock Appreciation Right | 03/01/2012(6) | 03/01/2022 | Common Stock | 3,711 | $ 67.7 | D | |
Stock Appreciation Right | 05/31/2012(7) | 05/31/2022 | Common Stock | 11,803 | $ 44.79 | D | |
Stock Appreciation Right | 12/19/2013(8) | 12/19/2023 | Common Stock | 5,448 | $ 79.58 | D | |
Stock Appreciation Right | 04/30/2014(9) | 04/30/2024 | Common Stock | 6,639 | $ 59.98 | D | |
Stock Appreciation Right | 03/02/2015(10) | 03/02/2025 | Common Stock | 9,176 | $ 30.44 | D | |
Stock Appreciation Right | 05/09/2016(11) | 05/09/2026 | Common Stock | 3,023 | $ 62.51 | D | |
Stock Appreciation Right | 02/27/2017(12) | 02/27/2027 | Common Stock | 3,177 | $ 57.19 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Harms Thomas 800 W. OLYMPIC BLVD., SUITE 406 LOS ANGELES, CA 90015 |
SVP, China & APAC |
/s/ Eileen Uy, Attorney-in-Fact for Thomas Harms | 08/04/2017 | |
**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) | On February 28, 2008 the reporting person was granted 6,000 Stock Appreciation Right ("SARs"). These SARs were fully vested as of February 28, 2011. |
(2) | On February 27, 2009 the reporting person was granted 6,000 SARs. These SARs were fully vested as of February 27, 2012. |
(3) | On February 27, 2009 the reporting person was granted 15,000 SARs. These SARs were fully vested as of February 27, 2014. |
(4) | On May 7, 2010 the reporting person was granted 5,032 SARs. These SARs were fully vested as of May 7, 2013. |
(5) | On May 18, 2011, the reporting person was granted 4,167 SARs. These SARs were fully vested as of May 18, 2014. |
(6) | On March 1, 2012, the reporting person was granted 3,711 SARs. These SARs were fully vested as of March 1, 2015. |
(7) | On May 31, 2012, the reporting person was granted 11,803 SARs. These SARs were fully vested as of May 31, 2015. |
(8) | On December 19, 2013, the reporting person was granted 5,448 SARs. These SARs were fully vested as of December 19, 2016. |
(9) | On April 30, 2014, the reporting person was granted 6,639 SARs. These SARs were fully vested as of April 30, 2017. |
(10) | On March 2, 2015, the reporting person was granted 9,176 SARs. Forty percent (40%) of these SARs were vested as of March 2, 2017, and the remaining sixty percent (60%) will vest on March 2, 2018. |
(11) | On May 9, 2016, the reporting person was granted 3,023 SARs. Twenty percent (20%) of these SARs were vested as of May 9, 2017, twenty percent (20%) will vest on May 9, 2018, and the remaining sixty percent (60%) will vest on May 2, 2019. |
(12) | On February 27, 2017, the reporting person was granted 3,177 SARs. Twenty percent (20%) of these SARs will vest on each of February 27, 2018 and February 27, 2019, and the remaining sixty percent (60%) will vest on February 27, 2020. |