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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) | $ 89.29 | 10/23/2015 | A | 14,250 | (4) | 10/23/2022 | Common Stock | 14,250 | $ 0 | 14,250 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bergman Rick 1251 MCKAY DRIVE SAN JOSE, CA 95131 |
X | President and CEO |
Kermit Nolan, as attorney-in-fact | 10/27/2015 | |
**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) | One-third of the total number of deferred stock units shall vest on each anniversary following the vesting commencement date of 10/31/2015, until fully vested on 10/31/2018. |
(2) | Reflects shares released October 23, 2015 in connection with the vesting of performance-based market stock units granted on November 15, 2012, October 28, 2013, and October 24, 2014. |
(3) | Represents shares of common stock withheld by the Issuer to satisfy certain tax withholding obligations associated with the vesting of performance-based market stock units. |
(4) | 1/12th of the total number of shares subject to the option shall vest and become exercisable each quarter following the October 23, 2015 date of grant, until fully vested on October 23, 2018. |