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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) | $ 1.11 | 07/27/2010 | M | 40,843 | 02/27/2010(1) | 02/27/2019 | Common Stock | 40,843 (2) | $ 0 | 159,157 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GRANGER CLARENCE L ULTRA CLEAN HOLDINGS INC. 26462 CORPORATE AVE HAYWARD, CA 94545 |
X | Chairman and CEO |
/s/ Angie Sandoval, Attorney-in-Fact | 01/31/2011 | |
**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) | The option becomes exercisable over 4 years from the date of grant, with 25% becoming exercisable after the first year and monthly thereafter. |
(2) | This Form 4 amendment is being filed to correct the information regarding which option was exercised on July 27, 2010. The number total shares acquired on exercise of stock options was correct, but the option was inadvertently misidentified. The option originally reported with an exercise price of $6.55 was not exercised. Instead, the option reported in this Form 4 was exercised for 40,843 shares rather than 6,250 shares. This Form 4 amendment reflects only those transactions related to this corrected option exercise. The total number of options exercised, and the total number of shares sold, on July 27, 2010 was reported correctly in the original Form 4. |
(3) | The Form 4 amendment does not re-report the sales of the shares acquired on exercise of the stock options because the sale was already reported correctly, so the number of securities beneficially owned by the reported person after the corrected transactions reported in this Form 4 amendment remained 361,395 after the transactions on July 27, 2010. |