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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 | ||||||||
Restricted Share Unit | (2) | 09/09/2018 | M | 750 | (3) | 09/09/2018 | Ordinary Shares | 750 | $ 0 | 0 | D | ||||
Restricted Share Unit | (2) | 09/09/2018 | M | 714 | (4) | 09/09/2019 | Ordinary Shares | 714 | $ 0 | 714 | D | ||||
Restricted Share Unit | (2) | 09/09/2018 | M | 3,094 | (5) | 09/09/2020 | Ordinary Shares | 3,094 | $ 0 | 6,188 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Scolnick Kathryn R. 10200 S. DE ANZA BOULEVARD CUPERTINO, CA 95014 |
Interim CFO |
/s/ Laurie Webb Attorney-in-Fact for Kathryn R. Scolnick | 09/11/2018 | |
**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) | These Ordinary Shares are withheld securities to cover tax liabilities incident to the vesting of Restricted Share Units ("RSUs"). |
(2) | Each RSU represents a contingent right to receive one ordinary share of the Issuer. |
(3) | The RSUs, originally granted to the Reporting Person under the Seagate Technology plc 2012 Equity Incentive Plan (the "Plan") for 3,000 shares of which all 3,000 shares have been released, vest as to one-quarter of the shares on September 9, 2015 and each one year anniversary thereafter. |
(4) | The RSUs, originally granted to the Reporting Person under the Plan for 2,855 shares, of which 2,141 shares have been released, vest as to one-quarter of the shares on September 9, 2016 and each one-year anniversary thereafter. |
(5) | The RSUs, originally granted to the Reporting Person under the Plan for 12,375 shares, of which 6,187 shares have been released, vest as to one-quarter of the shares on September 9, 2017 and each one-year anniversary thereafter. |