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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) | $ 10 | 07/15/2010 | M | 30,000 | (1) | 02/08/2019 | Common Stock | 30,000 | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 16 | 07/15/2010 | A | 510,000 | (2) | 07/14/2020 | Common Stock | 510,000 | $ 0 | 510,000 | D | ||||
Employee Stock Option (right to buy) | $ 16 | 07/15/2010 | A | 30,000 | (3) | 07/14/2020 | Common Stock | 30,000 | $ 0 | 30,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mayson Robert C/O REALD INC. 100 N. CRESCENT DRIVE, SUITE 120 BEVERLY HILLS, CA 90210 |
Pres., Consumer Electronics |
/s/ Craig S. Gatarz, Attorney-in-Fact | 07/19/2010 | |
**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) | This option was granted on 2/8/2009 and the vesting commencement date was 2/8/2009. This option vested as follows: 1,000 shares vested for each 100 newly-contracted screens ordered as a direct result of Mr. Mayson's efforts. The performance criteria was met as of March 26, 2010 resulting in this option being fully vested. |
(2) | This stock option grant will vest as follows: (i) 1/4 of the option vests on the first anniversary of the vesting commencement date and (ii) an additional 1/48 of the option vests per month for each of the 36 months following the month of the one-year anniversary of the vesting commencement date, subject to continued employment with the company. |
(3) | This stock option grant will vest based both on a three year time-based cliff vesting schedule and on relative total shareholder return performance objectives over a three year period as measured against a peer group of companies established by the board of directors. |