Initial Statement of Beneficial Ownership (3)
August 02 2018 - 5:42PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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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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1. Name and Address of Reporting Person
*
Javid Parker K
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2. Date of Event Requiring Statement (MM/DD/YYYY)
7/25/2018
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3. Issuer Name
and
Ticker or Trading Symbol
LANDEC CORP CA [LNDC]
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(Last)
(First)
(Middle)
C/O LANDEC CORPORATION, 5201 GREAT AMERICA PARKWAY, SUITE 232
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Vice President /
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(Street)
SANTA CLARA, CA 95054
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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No Security beneficially owned
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0
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Incentive Stock Option (Right to Buy)
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(5)
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7/25/2025
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Common Stock
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5482
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$14.3500
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D
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Nonqualified Stock Options (Right to Buy)
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(5)
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7/25/2025
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Common Stock
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5768
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$14.3500
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D
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Restricted Stock Units (Right to Buy)
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(2)
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7/25/2021
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Common Stock
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3750
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(1)
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D
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Restricted Stock Units (Right to Buy)
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(2)
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5/25/2019
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Common Stock
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10000
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(1)
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D
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Nonqualified Stock Options (Right to Buy)
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(3)
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5/25/2023
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Common Stock
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8208
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$11.3600
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D
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Incentive Stock Option (Right to Buy)
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(3)
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5/25/2023
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Common Stock
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21792
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$11.3600
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D
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Restricted Stock Units (Right to Buy)
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(2)
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10/19/2020
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Common Stock
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5000
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(1)
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D
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Nonqualified Stock Options (Right to Buy)
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(4)
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10/19/2024
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Common Stock
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6688
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$12.6500
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D
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Incentive Stock Option (Right to Buy)
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(4)
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10/19/2024
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Common Stock
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8312
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$12.6500
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D
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Explanation of Responses:
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(1)
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The Restricted Stock Units convert into Common Stock of Landec Corporation on a 1 for 1 basis.
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(2)
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Restricted Stock Units will vest on the 3rd anniversary of the grant date and will be automatically settled in shares of common stock subject to vesting at a rate of 1 share per unit.
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(3)
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The options vest as to (a) 33% for first year beginning on May 25, 2017 and then (b) the remaining in 1/36 monthly installments over the following 24 months, subject to continued service through each vesting date.
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(4)
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The options vest as to 1/36 of the total shares monthly, beginning on November 19, 2017, subject to continued service through each vesting date.
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(5)
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The options vest as to 1/36 of the total shares monthly, beginning on August 25, 2018, subject to continued service through each vesting date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Javid Parker K
C/O LANDEC CORPORATION
5201 GREAT AMERICA PARKWAY, SUITE 232
SANTA CLARA, CA 95054
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Vice President
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Signatures
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/s/ Shelley A Hilt
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8/1/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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