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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 | ||||||||
Stock Option (Right to Buy) | $ 5.3438 | 11/09/2004 | M | 3,319 | (2) | 02/06/2007 | Common Stock | 3,319 | $ 0 | 0 | D | ||||
Stock Option (Right to Buy) | $ 5.6563 | 11/09/2004 | M | 1,564 | (3) | 02/11/2008 | Common Stock | 1,564 | $ 0 | 0 | D | ||||
Stock Option (Right to Buy) | $ 8.03 | 11/09/2004 | M | 117 | (4) | 03/03/2013 | Common Stock | 117 | $ 0 | 11,601 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BERTOCCI DEREK A 3400 CENTRAL EXPRESSWAY SANTA CLARA, CA 95051 |
Senior Vice President & CFO |
Derek A. Bertocci | 11/11/2004 | |
**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) | The sale reported in this Form 4 was effected pusuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 16, 2004. |
(2) | Stock option granted under the VISX, Incorporated 1995 Stock Plan, which is a Rule 16b-3 plan. The Reporting Person exercised 3,319 shares of the 20,000 shares which were granted on February 6, 1997. This option is exercisable upon vesting, and 25% of the shares subject to the option vest upon the first anniversary of the grant and 1/48th of the shares subject to the option vest at the end of each full month thereafter for 36 months. |
(3) | Stock option granted under the VISX, Incorporated 1995 Stock Plan, which is a Rule 16b-3 plan. The Reporting Person exercised 1,564 shares of the 26,696 shares which were granted on February 11, 1998. This option is exercisable upon vesting, and 25% of the shares subject to the option vest upon the first anniversary of the grant and 1/48th of the shares subject to the option vest at the end of each full month thereafter for 36 months. |
(4) | Stock option granted under the VISX, Incorporated 2000 Stock Plan, as amended, which is a Rule 16b-3 plan. The Reporting Person exercised 117 shares of the 25,780 shares which were granted on March 3, 2003. This option is exercisable upon vesting, and 25% of the shares subject to the option vest upon the first anniversary of the grant and 1/48th of the shares subject to the option vest at the end of each full month thereafter for 36 months. |