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 |
|
| ||||||||||||||||||||||||||||||
|
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) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | Â (2) | 08/03/2019 | Common Stock | 5,109 (3) | $ 25.5 | D | Â |
Employee Stock Option (Right to Buy) | Â (4) | 08/02/2020 | Common Stock | 13,000 | $ 31.73 | D | Â |
Employee Stock Option (Right to Buy) | Â (5) | 10/31/2019 | Common Stock | 1,000 | $ 23.16 | D | Â |
Employee Stock Option (Right to Buy) | Â (6) | 01/28/2020 | Common Stock | 1,000 | $ 35.76 | D | Â |
Employee Stock Option (Right to Buy) | Â (7) | 04/29/2020 | Common Stock | 1,000 | $ 42.57 | D | Â |
Employee Stock Option (Right to Buy) | Â (8) | 08/05/2020 | Common Stock | 1,000 | $ 39.8 | D | Â |
Employee Stock Option (Right to Buy) | Â (9) | 10/28/2020 | Common Stock | 744 | $ 46.5 | D | Â |
Employee Stock Option (Right to Buy) | Â (10) | 01/27/2021 | Common Stock | 744 | $ 60.22 | D | Â |
Employee Stock Option (Right to Buy) | Â (11) | 04/28/2021 | Common Stock | 744 | $ 61.4 | D | Â |
Employee Stock Option (Right to Buy) | Â (12) | 08/01/2021 | Common Stock | 745 | $ 78.11 | D | Â |
Employee Stock Option (Right to Buy) | Â (13) | 10/24/2021 | Common Stock | 408 | $ 62.105 | D | Â |
Employee Stock Option (Right to Buy) | Â (14) | 01/30/2022 | Common Stock | 408 | $ 76.81 | D | Â |
Employee Stock Option (Right to Buy) | Â (15) | 04/24/2022 | Common Stock | 408 | $ 85.69 | D | Â |
Employee Stock Option (Right to Buy) | Â (16) | 07/31/2022 | Common Stock | 408 | $ 79.38 | D | Â |
Employee Stock Option (Right to Buy) | Â (17) | 10/23/2022 | Common Stock | 1,049 | $ 89.29 | D | Â |
Employee Stock Option (Right to Buy) | Â (18) | 01/23/2023 | Common Stock | 1,050 | $ 73.31 | D | Â |
Employee Stock Option (Right to Buy) | Â (19) | 04/29/2023 | Common Stock | 1,049 | $ 71.55 | D | Â |
Employee Stock Option (Right to Buy) | Â (20) | 07/23/2023 | Common Stock | 1,050 | $ 51.95 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NOLAN KERMIT 1251 MCKAY DRIVE SAN JOSE, CA 95131 |
 |  |  See Remarks |  |
Kermit Nolan | 02/11/2019 | |
**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) | Includes (i) 7,648 shares that were acquired upon delivery of vested deferred stock units, (ii) 17,531 shares underlying deferred stock units that are not yet vested and deliverable, and (iii) 1,354 shares released in connection with the vesting of performance-based market stock units granted on 12/13/17. |
(2) | 25% of the 18,000 shares subject to the option vested and became exercisable on the 12 month anniversary of the 7/27/09 vesting commencement date, and 1/48th of the total number of shares subject to the option vested and became exercisable on the 27th day of each month thereafter until fully vested on 7/27/13. |
(3) | Does not include 12,891 shares underlying the option that were previously exercised. |
(4) | 1/48th of the total number of shares subject to the option vested and became exercisable on the 2nd day of each month following the 8/02/10 date of grant until fully vested on 8/02/14. |
(5) | 1/36th of the total number of shares subject to the option vested and became exercisable on the 29th day of each month following the 10/31/12 date of grant until fully vested on 10/29/15. |
(6) | 1/36th of the total number of shares subject to the option vested and became exercisable on the 28th day of each month following the 1/28/13 date of grant until fully vested on 1/28/16. |
(7) | 1/36th of the total number of shares subject to the option vested and became exercisable on the 29th day of each month following the 4/29/13 date of grant until fully vested on 4/29/16. |
(8) | 1/36th of the total number of shares subject to the option vested and became exercisable on the 5th day of each month following the 8/05/13 date of grant until fully vested on 8/05/16. |
(9) | 1/12th of the total number of shares subject to the option vested and became exercisable each quarter following the 10/28/13 date of grant until fully vested on 10/28/16. |
(10) | 1/12th of the total number of shares subject to the option vested and became exercisable each quarter following the 1/27/14 date of grant until fully vested on 1/27/17. |
(11) | 1/12th of the total number of shares subject to the option vested and became exercisable each quarter following the 4/28/14 date of grant until fully vested on 4/28/17. |
(12) | 1/12th of the total number of shares subject to the option vested and became exercisable each quarter following the 8/01/14 date of grant until fully vested on 8/01/17. |
(13) | 1/12th of the total number of shares subject to the option vested and became exercisable each quarter following the 10/24/14 date of grant until fully vested on 10/24/17. |
(14) | 1/12th of the total number of shares subject to the option vested and became exercisable each quarter following the 1/30/15 date of grant until fully vested on 1/30/18. |
(15) | 1/12th of the total number of shares subject to the option vested and became exercisable each quarter following the 4/24/15 date of grant until fully vested on 4/24/18. |
(16) | 1/12th of the total number of shares subject to the option vested and became exercisable each quarter following the 7/31/15 date of grant until fully vested on 7/31/18. |
(17) | 1/12th of the total number of shares subject to the option vested and became exercisable each quarter following the 10/23/15 date of grant until fully vested on 10/23/18. |
(18) | 1/12th of the total number of shares subject to the option vested and became exercisable each quarter following the 1/29/16 date of grant until fully vested on 1/29/19. |
(19) | 1/12th of the total number of shares subject to the option vested or shall vest and became exercisable or shall become exercisable each quarter following the 4/29/16 date of grant until fully vested on 4/29/19. |
(20) | 1/12th of the total number of shares subject to the option vested or shall vest and became exercisable or shall become exercisable each quarter following the 7/29/16 date of grant until fully vested on 7/29/19. |
 Remarks: The reporting person is the Corporate Vice President, Chief Accounting Officer, and Interim Chief Financial Officer. Exhibit List Exhibit 24 - Limited Power of Attorney |