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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Warrant (Right to Buy) | Â | Â | Â | 3 | Â | Â | Â (2) | Â (3) | Common Stock | Â | 34,533,213 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SVB FINANCIAL GROUP 3003 TASMAN DRIVE SANTA CLARA, CA 95054 |
 |  X |  |  |
SVB Financial Group, By: /s/ MICHAEL DESCHENEAUX, Chief Financial Officer | 02/17/2015 | |
**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) | Of the 34,533,213 shares subject to the warrants, the exercise price is $0.042 for 33,452,856 shares and the exercise price is $0.01 for 1,080,357 shares. |
(2) | Each of the warrants is currently exercisable and was exercisable on its issuance date, except that certain shares issuable under the warrants did not become fixed and exercisable until February 13, 2013 or October 31, 2013. |
(3) | Generally, each warrant is scheduled to expire seven years (or in one case ten years) after its issuance, as provided therein. |
 Remarks: The Reporting Person intends to surrender, in accordance with the terms of the warrants, promptly after the date of the filing of this report on Form 5, all warrants to purchase common stock of the Issuer it currently holds for cancellation for no consideration. |