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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 | ||||||||
Restricted Stock Units | (3) | 05/11/2010 | M | 28,769 | 05/11/2010 | 05/11/2010 | Common Stock | 28,769 | $ 0 | 332,561 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FONTAINE JAMES A 2201 TENTH STREET PLANO, TX 75074 |
X | CEO & President |
/s/ James A. Fontaine | 06/03/2010 | |
**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 common stock was acquired as a result of the vesting of restricted stock units awarded on May 10, 2007. |
(2) | Represents a reduction of shares issued to the reporting person to discharge withholding tax obligations in connection with the vesting of restricted stock units on May 11, 2010. |
(3) | Each restricted stock unit represents a contingent right to receive one share of Microtune common stock. |
(4) | Following the reported transaction(s) of this Form 4, the reporting person held 332,561 restricted stock units, including 31,573 that were granted on May 10, 2007, 73,210 that were granted on May 12, 2008, and 80,000 that were granted on May 15, 2009 (all under the Amended and Restated Microtune, Inc. 2000 Stock Plan) and all of which vest over time. Additionally, 147,778 restricted stock units were granted on February 15, 2010 under Microtune's 2010 Incentive Compensation Program. The awards made on May 10, 2007 and May 12, 2008 were originally for 80,000 restricted stock units each but they were reduced pursuant to a divorce decree entered in 2009. This does not include 70,000 restricted stock units granted on May 15, 2010. |