UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option to purchase common stock | Â (3) | 12/15/2022 | Common Stock | 7,326 | $ 50.9 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KenKnight Bruce H 100 CYBERONICS BLVD HOUSTON, TX 77058 |
 |  |  VP, Emerging Therapies |  |
/s/ Bruce H KenKnight | 01/10/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | On September 15, 2011, Reporting Person was granted 39,000 shares of restricted stock subject to performance-based forfeiture conditions, of which 9,750 shares have vested to date based on achievement of the underlying performance conditions, leaving Reporting Person with 29,250 shares of restricted stock subject to forfeiture prior to vesting in accordance with the terms of the Restricted Stock Agreement. |
(2) | Reporting person was granted 3,330 restricted shares of common stock, 25% of the shares to vest on each of the first four anniversaries of December 15, 2012. The award is subject to forfeiture prior to vesting in accordance with the terms of the Restricted Stock Agreement. |
(3) | Reporting person was granted an option to purchase 7,326 shares of common stock, 25% of the shares under such option to vest on each of the first four anniversaries of December 15, 2012. The option to purchase such shares is subject to forfeiture prior to vesting in accordance with the terms of the Stock Option Agreement. |