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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 Options | $ 11.88 | 08/07/2013 | M | 103,334 | (5) | 11/08/2020 | Common Stock, par value $0.000001 per share | 103,334 | $ 0 | 51,666 | D | ||||
Employee Stock Options | $ 10.375 | 08/07/2013 | M | 20,000 | (6) | 11/15/2017 | Common Stock, par value $0.000001 per share | 20,000 | $ 0 | 0 | D | ||||
Employee Stock Options | $ 10.47 | 08/07/2013 | M | 17,500 | (7) | 11/17/2018 | Common Stock, par value $0.000001 per share | 17,500 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Wereb Stephen G C/O ACTIVISION PUBLISHING, INC. 3100 OCEAN PARK BOULEVARD SANTA MONICA, CA 90405 |
Principal Accounting Officer |
/s/ Stephen G. Wereb | 08/07/2013 | |
**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 price in column 4 is a weighted average price. The prices actually received for the stock ranged from $17.73 to $17.76 per share. Mr. Wereb has provided the Company, and upon request, will provide any security holder of the Company or the SEC staff, with information regarding the number of shares sold at each price within that range. |
(2) | The price in column 4 is a weighted average price. The prices actually received for the stock ranged from $17.73 to $17.731 per share. Mr. Wereb has provided the Company, and upon request, will provide any security holder of the Company or the SEC staff, with information regarding the number of shares sold at each price within that range. |
(3) | The price in column 4 is a weighted average price. The prices actually received for the stock ranged from $17.38 to $17.62 per share. Mr. Wereb has provided the Company, and upon request, will provide any security holder of the Company or the SEC staff, with information regarding the number of shares sold at each price within that range. |
(4) | Following the transactions reported on this Form 4, Mr. Wereb held 68,857 restricted stock units, each representing the right to receive one share of the Company's common stock. |
(5) | One-half of these exercised options to purchase shares of the Company's common stock vested, and were exercisable, on each of June 29, 2012 and June 29, 2013. The remaning 51,666 options in the grant vest on June 29, 2014. |
(6) | These options to purchase shares of the Company's common stock were exercisable in full as of November 15, 2010. |
(7) | These options to purchase shares of the Company's common stock were exercisable in full as of November 17, 2011. |