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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 | ||||||||
Non Qualified Stock Option (Right to Buy) | $ 4.9027 | 12/06/2013 | M | 82,404 (1) | (2) | 12/15/2013 | Common Stock | 82,404 | $ 0 | 75,202 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LONG JAMES R 198 CHAMPION COURT SAN JOSE, CA 95134 |
X |
Neil H. Weiss, as attorney-in-fact for James R Long | 12/09/2013 | |
**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) | Mr. Long was granted an option to purchase 82,404 shares (as adjusted for the SunPower spin) on December 15, 2003. Since this option will expire on December 15, 2013, Mr. Long must exercise the option prior to that date. 59,500 shares were sold to pay for the exercise price and taxes. The net amount of 22,904 shares will be held by Mr. Long and will increase his total ownership (direct and indirect) to 184,441 shares. |
(2) | Options vest monthly over five years from the date of grant. |
(3) | Under the terms of the resolution of the Board of Directors, all options, RSUs and RSAs outstanding on September 29,2008 were adjusted due to the spinoff of SunPower by a conversion ratio of 4.12022 per share. |