SEC FORM 3/A SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL 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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1. Name and Address of Reporting Person*
Javid Parker K

(Last) (First) (Middle)
C/O LANDEC CORPORATION
5201 GREAT AMERICA PARKWAY, SUITE 232

(Street)
SANTA CLARA CA 95054

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/17/2019
3. Issuer Name and Ticker or Trading Symbol
LANDEC CORP \CA\ [ LNDC ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Vice President
5. If Amendment, Date of Original Filed (Month/Day/Year)
10/17/2019
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
No Security beneficially owned 0 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Incentive Stock Option (Right to Buy) (1) 07/25/2025 Common Stock 5,482 14.35 D
Non-Qualified Stock Option (Right to Buy) (1) 07/25/2025 Common Stock 5,768 14.35 D
Right to Buy Restricted Stock Units (RSU) (2) 07/25/2021 Common Stock 3,750 (3) D
Restricted Stock Unit 05/25/2019(2) 05/25/2019 Common Stock 10,000 (3) D
Non-Qualified Stock Option (Right to Buy) (4) 05/25/2023 Common Stock 8,208 11.36 D
Incentive Stock Option (Right to Buy) (4) 05/25/2023 Common Stock 21,792 11.36 D
Right to Buy Restricted Stock Units (RSU) (2) 10/19/2020 Common Stock 5,000 (3) D
Non-Qualified Stock Option (Right to Buy) (5) 10/19/2024 Common Stock 6,688 12.65 D
Incentive Stock Option (Right to Buy) (5) 10/19/2024 Common Stock 8,312 12.65 D
Explanation of Responses:
1. 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.
2. 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.
3. The Restricted Stock Units convert into Common Stock of Landec Corporation on a 1 for 1 basis.
4. 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.
5. 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.
Remarks:
/s/ Rebecca J Hilt 10/17/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
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