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 | ||||
Employee Stock Option (right to buy) | Â (2) | 04/23/2020 | Common Stock | 14,285 | $ 9.1 | D | Â |
Employee Stock Option (right to buy) | Â (3) | 01/19/2021 | Common Stock | 12,500 | $ 19 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Tuttle Mark Ewing 3F, NO. 11 KE JUNG RD., CHU-NAN SITE HSINCHU SCIENCE PARK, MIAO-LI COUNTY CHU-NAN, F5 350 |
 |  |  Exec VP of Operations |  |
/s/ Timothy Lin , attorney-in-fact | 04/09/2013 | |
**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) | These shares represent: (a) 8,000 restricted stock units that will be settled in LEDS common stock upon vesting, 25% of the restricted stock units will vest on January 20 in each of 2012, 2013, 2014 and 2015, subject to the Reporting Person's continuous employment through each of the vesting dates, and will become fully vested upon a change in control; and (b) 50,000 restricted stock units that will be settled in LEDS common stock upon vesting, 25% of the restricted stock units will vest on February 20 in each of 2013, 2014, 2015 and 2016, subject to the Reporting Person's continuous employment through each of the vesting dates. Vested shares will be delivered to the reporting person within the first open trading window following the vesting date, but in no event later than the 15th day of the 3rd month following the end of the Company's tax year that includes the vesting date. |
(2) | The option shares vest and become exercisable in four equal successive annual installments over the next 48 months of continuous service after May 30, 2010. |
(3) | 25% of the option vests and becomes exercisable upon the completion of each of 4 years of service following January 20, 2011 and will become fully vested and exercisable upon a change in control. |
 Remarks: Exhibit List Exhibit 24.1: Power of Attorney |