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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) | $ 6.23 | 08/15/2012 | M | 3,000 | (5) | 07/21/2020 | Common Stock | 3,000 | $ 0 | 33,750 | D | ||||
Stock Option (Right to Buy) | $ 10.99 | 08/15/2012 | M | 1,584 | (6) | 01/14/2019 | Common Stock | 1,584 | $ 0 | 10,747 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Knapp Jeffrey H C/O AFFYMAX, INC. 4001 MIRANDA AVE. PALO ALTO, CA 94304 |
Chief Commercial Officer |
/s/ Grace Shin, Attorney-in-fact | 08/15/2012 | |
**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) | In connection with the grant of 7,500 shares of restricted stock units ("RSUs") on July 11, 2011 and the grant of 8,125 shares of RSUs on July 22, 2010, 2,500 shares vested on July 11, 2012 and 4,062 shares vested on July 22, 2012, respectively. The 4,659 shares of RSUs sold as reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan (the "Plan"), of which certain shares were sold under the Plan in consideration of the tax withholding obligations that arose as a consequence of the vesting and delivery of the RSUs. |
(2) | The shares were sold at prices ranging from $15.90 to $16.02. The reporting person will provide to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(3) | The sale of these shares was effected pursuant to a Rule 10b5-1 trading plan. |
(4) | The shares were sold at prices ranging from $16.37 to $16.66. The reporting person will provide to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(5) | The option vests on a monthly basis in equal installments during the 48 month period beginning on July 22, 2010. |
(6) | The option vests on a monthly basis in equal installments during the 48 month period beginning on January 1, 2009. |