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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) | $ 10.77 | (2) | 08/21/2012 | Common Stock, par value $.01 per share | 195,934 (2) | 195,934 (2) | D | ||||||||
Stock Option (Right to Buy) | $ 14.52 | (3) | 06/06/2013 | Common Stock, par value $.01 per share | 55,000 (3) | 55,000 (3) | D | ||||||||
Stock Option (Right to Buy) | $ 16.23 | 12/09/2004 | A | 50,000 | (4) | 12/09/2014 | Common Stock, par value $.01 per share | 50,000 (4) | $ 0 | 50,000 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ARBIGE MICHAEL V 925 PAGE MILL ROAD PALO ALTO, CA 94304 |
Sr. VP - Technology |
Mark D. Buri, as Attorney-in-fact for Michael V. Arbige | 12/13/2004 | |
**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) | Dr. Arbige disclaims beneficial ownerhip of these shares. |
(2) | This option was previously reported by Dr. Arbige. Dr. Arbige can exercise the option as follows: 65,311 shares on 8/21/02, 65,311 on 8/21/03 and 65,312 on 8/21/04. |
(3) | This option was previously reported by Dr. Arbige. Dr. Arbige can exercise this option as follows: 18,333 shares on 6/06/04, 18,333 on 6/06/05 and 18,334 on 6/06/06. |
(4) | This option was granted under the Genencor International, Inc. 2002 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3. Dr. Arbige can exercise this option as follows: 16,666 shares on 12/09/05, 16,667 on 12/09/06 and 16,667 on 12/09/07. |