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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) | $ 9.7 | 04/10/2003 | 04/10/2010 | Common Stock, par value $.01 per share | 50,000 (2) | 50,000 (2) | D | ||||||||
Stock Option (Right to Buy) | $ 17.46 | 03/01/2004 | 03/10/2011 | Common Stock, par value $.01 per share | 15,000 (2) | 15,000 (2) | D | ||||||||
Stock Option (Right to Buy) | $ 14.52 | (3) | 06/06/2013 | Common Stock, par value $.01 per share | 17,000 (3) | 17,000 (3) | D | ||||||||
Stock Option (Right to Buy) | $ 16.23 | 12/15/2004 | A | 5,000 (4) | (4) | 12/09/2014 | Common Stock, par value $.01 per share | 5,000 (4) | $ 0 | 5,000 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CANFIELD DARRYL L 925 PAGE MILL ROAD PALO ALTO, CA 94304 |
VP, Corporate Controller |
Mark D. Buri, as Attorney-in-fact for Darryl L. Canfield | 12/16/2004 | |
**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) | Mr. Canfield disclaims beneficial ownership of these shares. |
(2) | This option was previously reported by Mr. Canfield. |
(3) | This option was previously reported by Mr. Canfield. Mr. Canfield can exercise this option as follows: 5,666 shares on 6/6/04, 5,666 shares on 6/6/05, 5,668 and shares on 6/6/06. |
(4) | This option was granted under the Genencor International, Inc. 2002 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3. The number of shares subject to the option, and the rights and obligations of Genencor and Mr. Canfield, were fixed on 12/15/04; however, the exercise price and vesting schedule have been set as of 12/9/04, which is the date the board approved a pool of options to be allocated among certain non-senior management employees at the discretion of the Senior Vice President of Human Resources. Mr. Canfield can exercise this option as follows: 1,666 shares on 12/09/05, 1,666 on 12/09/06 and 1,668 on 12/09/07. |