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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 | ||||||||
Option to Purchase Common Stock | $ 7.55 | 02/13/2014 | A | 35,000 | (4) | 02/13/2021 | Common Stock | 35,000 | $ 0 | 35,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Last Andrew J. C/O AFFYMETRIX, INC. 3420 CENTRAL EXPRESSWAY SANTA CLARA, CA 95051 |
EVP, Chief Operating Officer |
/s/ Siang H. Chin, Attorney-in-Fact for Andrew J. Last | 02/13/2014 | |
**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 February 11, 2014, this number of perfomance-based restricted stock units was determined to be earned with respect to the performance period ending December 31, 2013. These earned restricted stock units will vest over four years starting February 25, 2014. |
(2) | This Form 4 does not include 40,000 performance-based restricted stock units granted on February 13, 2014. These shares will be reported on subsequent Form 4s if and when the performance criteria are met. |
(3) | Restricted stock units vest in equal annual installments over four years from the grant date of February 13, 2014. |
(4) | Stock option becomes exercisable in equal annual installments over four years from the grant date of February 13, 2014. |