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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 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 | |
PLISKA ADAM J 17877 VON KARMAN AVE SUITE 300 IRVINE, CA 92614 |
X |
/s/ Adam J. Pliska | 09/14/2021 | |
**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) | The reporting person acquired the stock in a private transfer of shares by another director of the issuer. The transfer was in settlement of a debt in the amount of $25,000. |
(2) | The reporting person has been advised that his acquisition of 10,373 shares reported herein at an effective value of $2.41 per share may be considered a purchase under Section 16(b) of the Securities Exchange Act of 1934 that is not exempt under applicable rules. In that event, such a purchase could be matched with the previously reported market sale of shares by the reporting person on February 10, 2021 in a market transaction at the gross sale price of $2.75 per share. The reporting person has agreed to pay to the issuer $2,677.78, representing the profit that would result from such matching, net of transaction costs. |
(3) | Shares forfeited to cover withholding tax obligations payable as a result of the lapse of forfeiture restrictions on shares. |