UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Non-Qualified Stock Option (right to buy) | 03/18/2012(1) | 03/18/2018 | Common Stock | 20,000 | $ 40.26 | D | Â |
Performance Stock Unit | 02/19/2017(2) | 02/19/2018 | Common Stock | 5,078 | $ 0 (3) | D | Â |
Performance Stock Unit | 02/17/2018(4) | 02/17/2019 | Common Stock | 12,099 | $ 0 (3) | D | Â |
RSU Award | 03/20/2016(5) | 03/20/2018 | Common Stock | 21,751 | $ 0 (3) | D | Â |
RSU Award | 11/20/2018(6) | 11/20/2018 | Common Stock | 39,250 | $ 0 (3) | D | Â |
RSU Award | 03/18/2017(5) | 03/18/2019 | Common Stock | 31,216 | $ 0 (3) | D | Â |
RSU Award | 03/17/2018(5) | 03/17/2020 | Common Stock | 57,537 | $ 0 (3) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Athreya Anand 1133 INNOVATION WAY SUNNYVALE, CA 94089 |
 |  |  Chief Development Officer |  |
Anand S Athreya | 08/14/2017 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Vests as to 25% of the shares subject to the option one year from the grant date and the balance shall vest 1/48th of the total shares granted each month thereafter. |
(2) | Represents the maximum quantity of shares issuable. The exact number of shares issuable will be determined based on achievement of certain Company performance targets for the 2016 fiscal year, as determined by the Compensation Committee of the Board. The executive can earn either 0% or 100% of the target shares that will vest 50% each year over a two year period. |
(3) | Column 8 is not an applicable reportable field. |
(4) | Represents the maximum quantity of shares issuable. The exact number of shares issuable will be determined based on achievement of certain Company performance targets for the 2017 fiscal year, as determined by the Compensation Committee of the Board. The executive can earn either 0% or 100% of the target shares that will vest 50% each year over a two year period. |
(5) | This awards vests from the original grant date as to thirty-four percent on the one year anniversary of the grant date and thirty-three percent annually on the second anniversary and third anniversary. |
(6) | The award vests as to 100% on November 20, 2018 provided the employee remains a service provider through the vesting date. |