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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 | ||||||||
Non-Qualified Stock Option (right to buy) | $ 357.19 | 04/21/2017 | M | 688 | (3) | 04/21/2021 | Common Stock | 688 | $ 0 | 1,374 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 371.32 | 04/21/2017 | M | 313 | (3) | 04/24/2024 | Common Stock | 313 | $ 0 | 624 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 814.45 | 04/20/2017 | A | 607 | (3) | 04/20/2027 | Common Stock | 607 | $ 0 | 607 | D | ||||
Restricted Stock Units | $ 0 | 04/20/2017 | A | 202 | (4) | 02/21/2018 | Common Stock | 202 | $ 0 | 202 | D | ||||
Restricted Stock Units | $ 0 | 04/20/2017 | M | 385 | (4) | 04/21/2020 | Common Stock | 385 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LEVY ALAN J 1020 KIFER ROAD SUNNYVALE, CA 94086 |
X |
By: Lori Serrano For: Alan J Levy | 04/24/2017 | |
**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 shares were acquired from the vest and release of an RSU grant previously issued to the Filer. |
(2) | These shares were sold pursuant to a Rule 10b5-1 Trading Plan, entered into on November 29, 2016. |
(3) | Non-statutory stock option granted pursuant to the Non-Employee Directors' Stock Option Plan. Option shall vest 100% one year after the date of grant or at the next Shareholders Meeting, whichever should take place first, provided that vesting will cease on termination of the Directors service to the Company. |
(4) | 100% of the grant will vest on the anniversary date of the grant or the next Annual Shareholders Meeting, whichever takes place first, provided however that vesting will cease on termination of the Director's service to the company. |