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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 | ||||||||
Common Stock Warrants (Right to Buy) | $ 5.43 | 08/10/2006 | X | 8,810 | 04/22/2002 | 08/10/2006 | Common Stock | 788 (6) | (7) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HARRISON DONALD C 525 UNIVERSITY AVENUE, SUITE 1400 PALO ALTO, CA 94301 |
X |
/s/ Thomas J. Etergino as Attorney-in-Fact for Donald C. Harrison | 08/14/2006 | |
**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) | On August 10, 2006, 8,810 warrants owned by Dr. Harrison were automatically exercised pursuant to a net issue exercise, resulting in his acquisition of 788 shares of Common Stock. The warrants were exercisable at $5.96 per share (a price equal to the closing average of the Common Stock for the 10 trading days prior to August 10, 2006). |
(2) | Dr. Harrison disclaims beneficial ownership of the securities held by this entity, except as to his pecuniary interest therein. |
(3) | Dr. Harrison disclaims beneficial ownership of the securities held by this entity, except as to his pecuniary interest therein. |
(4) | Dr. Harrison disclaims beneficial ownership of the securities held by this entity, except as to his pecuniary interest therein. |
(5) | Dr. Harrison disclaims beneficial ownership of the securities held by this entity, except as to his pecuniary interest therein. |
(6) | The net number of shares of Common Stock issuable upon the exercise of 8,810 warrants, calculated pursuant to the terms of the warrant. |
(7) | Not applicable. |