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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 | ||||||||
Incentive Stock Option (right to buy) | $ 8.04 | 12/05/2013 | M | 3,000 (1) | 09/15/2013(6) | 06/15/2021 | Common Stock | 3,000 | $ 0 | 25,813 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 7.36 | 12/05/2013 | M | 2,000 (1) | 10/31/2013(7) | 10/31/2021 | Common Stock | 2,000 | $ 0 | 53,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Boecker Frederick Scott 10 ALMADEN BLVD. SAN JOSE, CA 95113 |
Chief Product Officer |
By: James S. Caulfield. Attorney-in-fact For: Frederick Scott Boecker | 12/09/2013 | |
**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) | Same-Day-Sale exercise of stock option, including sale of all shares subject to such exercise. These transactions were effected pursuant to a 10b5-1 trading plan previously established by the reporting person. |
(2) | The price reported in column 4 is a weighted average price (exact weighted average price was $15.099450). These shares were sold in multiple transactions at prices ranging from $14.91 to $15.3225 inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer and the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4. |
(3) | The price reported in column 4 is a weighted average price (exact weighted average price was $15.105755). These shares were sold in multiple transactions at prices ranging from $14.91 to $15.07 inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer and the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4. |
(4) | This sale of shares was effected pursuant to a 10b5-1 trading plan previously established by the reporting person. |
(5) | The price reported in column 4 is a weighted average price (exact weighted average price was $15.103314). These shares were sold in multiple transactions at prices ranging from $14.90 to $15.33 inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer and the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4. |
(6) | Option vests in equal increments on a quarterly basis over four years from the grant date of June 15, 2011, fully vesting on June 15, 2015. |
(7) | Option vests in equal increments on a quarterly basis over four years from the grant date of October 31, 2011, fully vesting on October 31, 2015. |