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) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Employee Stock Option (Right to Buy)
|
Â
(3)
|
06/27/2015 |
Common Stock
|
20,000
|
$
38.3
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
Â
(4)
|
05/24/2016 |
Common Stock
|
5,000
|
$
45.26
|
D
|
Â
|
Restricted Stock Units
(5)
|
Â
(6)
|
Â
(6)
|
Common Stock
|
2,300
|
$
0
|
D
|
Â
|
* |
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) |
Includes an aggregate of 62.7163 shares of common stock acquired by the reporting person under the Advanced Medical Optics, Inc. Employee Stock Purchase Plan through the the most recent purchase date, October 31, 2006. |
(2) |
Includes an aggregate of 1,100 shares of restricted common stock acquired in an exempt grant under the issuer's 2005 Incentive Compensation Plan, which will vest as to 100% of the shares on May 24, 2009, the third anniversary of the date of issuance, provided that certain conditions are met. |
(3) |
This Rule 16b3 exempt stock option will vest ratably on each of the first four anniversaries of the date of grant, such that the option will be fully vested on June 27, 2009 (provided applicable provisions of such option are complied with). |
(4) |
This Rule 16b3 exempt stock option will vest ratably on each of the first four anniversaries of the date of grant, such that the option will be fully vested on May 24, 2010 (provided applicable provisions of such option are complied with). |
(5) |
Exempt grant of restricted stock units with performance vesting conditions. Each restricted unit represents a contingent right to receive one share of the issuer's common stock, subject to performance vesting conditions. |
(6) |
These units will vest in 2010 only to the extent that the issuer's total stockholder return exceeds the 50th percentile of an identified peer group over the calendar years 2007-2009. The amount of units that vest, if any, will be determined on a sliding scale, based on the level of total stockholder performance between the 50th and 75th percentiles. None of the units will vest if total stockholder return from 2007-2009 is negative. |