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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 | ||||||||
Option to purchase common stock | $ 19.39 | 12/27/2011 | M | 750 | (1) | 06/16/2018 | common stock | 750 | (1) | 51,528 | D | ||||
Option to purchase common stock | $ 14.72 | 12/27/2011 | M | 1,000 | (2) | 06/08/2019 | Common Stock | 1,000 | (2) | 50,528 | D | ||||
Option to purchase common stock | $ 14.72 | 12/27/2011 | M | 625 | (3) | 06/08/2019 | Common Stock | 625 | (3) | 49,903 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Alch Darren 100 CYBERONICS BLVD HOUSTON, TX 77058 |
VP & Asst Secretary |
/s/ Darren W. Alch | 12/29/2011 | |
**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) | Reporting Person was granted an option to purchase 3,000 shares of common stock at a price of $19.39 per share on June 16, 2008, 25% of the shares under such option to vest on each of the four anniversaries of June 16, 2008. The option to purchase such shares expires on June 16, 2018 and is subject to forfeiture prior to vesting in accordance with the terms of the Stock Option Agreement. |
(2) | Reporting Person was granted an option to purchase 4,000 shares of common stock at a price of $14.72 per share on June 8, 2009, 25% of the shares under such option to vest on each of the four anniversaries of June 8, 2009. The option to purchase such shares expires on June 8, 2019 and is subject to forfeiture prior to vesting in accordance with the terms of the Stock Option Agreement. |
(3) | Reporting Person was granted an option to purchase 2,500 shares of common stock at a price of $14.72 per share on June 8, 2009, 25% of the shares under such option to vest on each of the four anniversaries of June 8, 2009. The option to purchase such shares expires on June 8, 2019 and is subject to forfeiture prior to vesting in accordance with the terms of the Stock Option Agreement. |