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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 | ||||||||
Employee Stock Option (Right to Buy) | $ 10.93 | 05/02/2013 | M | 20,672 | (6) | 01/21/2014 | Common Stock | 20,672 | $ 0 | 10,800 | D | ||||
Employee Stock Option (Right to Buy) | $ 20.17 | 05/02/2013 | M | 12,559 | (7) | 01/18/2015 | Common Stock | 12,559 | $ 0 | 192,441 | D | ||||
Employee Stock Option (Right to Buy) | $ 10.93 | 05/03/2012 | M | 10,800 | (6) | 01/21/2014 | Common Stock | 10,800 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 20.17 | 05/03/2013 | M | 23,966 | (7) | 01/18/2015 | Common Stock | 23,966 | $ 0 | 168,475 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LEE FRANCIS F 3120 SCOTT BLVD. SANTA CLARA, CA 95054 |
X |
Kermit Nolan, as attorney-in-fact | 05/06/2013 | |
**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) | The shares were sold pursuant to a 10b5-1 Sales Plan dated April 30, 2013. |
(2) | The shares are held by EF Lee Family 2012 Irr Trust, which were previously reported as being held by Francis F. Lee and Evelyn C. Lee as Co-Trustees of the Lee 1999 Living Trust dated March 16, 1999. |
(3) | The shares are held by Francis F. Lee, Trustee of the Francis Lee 2002 Irrevocable Trust. |
(4) | The shares are held by Evelyn C. Lee, the reporting person's spouse, Trustee of the Evelyn Lee 2002 Irrevocable Trust. |
(5) | The shares are held by the reporting person as custodian for his child. |
(6) | 25% of the total number of shares subject to the option vested and became exercisable on the twelve month anniversary of the January 21, 2004 vesting commencement date, and 1/48th of the total number of shares subject to the option vested and became exercisable on the 21st day of each month thereafter. |
(7) | 25% of the total number of shares subject to the option vested and became exercisable on the twelve month anniversary of the January 18, 2005 vesting commencement date, and 1/48th of the total number of shares subject to the option vested and became exercisable on the 18th day of each month thereafter. |