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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 | ||||||||
Employee Stock Option (Right to buy) | $ 34.3 | 03/12/2019 | M | 639 | (6) | 03/06/2022 | Common Stock | 639 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to buy) | $ 32.38 | 03/12/2019 | M | 642 | 06/05/2015(7) | 06/05/2022 | Common Stock | 642 | $ 0 | 642 | D | ||||
Employee Stock Option (Right to buy) | $ 33.14 | 03/12/2019 | M | 708 | 03/11/2016(7) | 03/11/2023 | Common Stock | 708 | $ 0 | 2,834 | D | ||||
Employee Stock Option (Right to buy) | $ 37.62 | 03/12/2019 | M | 914 | 06/10/2016(7) | 06/10/2023 | Common Stock | 914 | $ 0 | 4,570 | D | ||||
Employee Stock Option (Right to buy) | $ 39.09 | 03/12/2019 | M | 298 | 09/09/2016(7) | 09/09/2023 | Common Stock | 298 | $ 0 | 1,790 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cerda Christian C/O IROBOT CORPORATION 8 CROSBY DRIVE BEDFORD, MA 01730 |
Chief Operating Officer |
/s/ Glen D. Weinstein, Attorney-in-Fact | 03/14/2019 | |
**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 sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 7, 2018, and amended February 14, 2019 and March 1, 2019. |
(2) | The range of prices for the transaction reported on this line was $120.73 to $121.72. The average weighted price was $121.4805. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(3) | The range of prices for the transaction reported on this line was $121.76 to $122.67. The average weighted price was $122.1718. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(4) | The range of prices for the transaction reported on this line was $122.89 to $123.87. The average weighted price was $123.6492. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(5) | The range of prices for the transaction reported on this line was $123.90 to $124.88. The average weighted price was $124.221. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(6) | This option is currently exercisable. |
(7) | This option vests over a four-year period, at a rate of twenty-five percent (25%) on the first anniversary of the date listed in the table, and quarterly thereafter. |
Remarks: This Form 4/A is being filed to add transaction lines in Tables I and II to reflect the exercise of stock options prior to the same-day sales of shares previously reported in the original Form 4, filed on March 12, 2019 (the "Original Form 4"). Each of the same-day sale transactions reported in this Form 4/A were also previously reported in the Original Form 4. This Form 4/A also corrects the footnotes associated with the same-day sales to reflect that the 10b5-1 plan pursuant to which the sales were made has been previously amended. No other amendments or changes have been made to the Original Form 4. |