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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 | ||||||||
Performance Restricted Stock Unit | (2) | 07/31/2011 | M | 11,375 | 07/31/2011(1) | (6) | Common Stock | 11,375 | $ 0 | 34,125 | D | ||||
Restricted Stock Unit (RSU) | (2) | 07/31/2011 | M | 4,875 | 07/31/2011(1) | (6) | Common Stock | 4,875 | $ 0 | 38,125 | D | ||||
Restricted Stock Unit (RSU) | (2) | 07/31/2011 | M | 10,000 | 07/31/2011(3) | (6) | Common Stock | 10,000 | $ 0 | 28,125 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BIRAN DAN 101 INNOVATION DRIVE SAN JOSE, CA 95134 |
Sr VP, Marketing and Tech Svcs |
DANNY BIRAN | 08/02/2011 | |
**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) | 25% of the restricted stock unit granted on February 19, 2010 became vested on July 31, 2011 and shares were delivered to reporting person on that date. |
(2) | Each Restricted Stock Unit represents a contingent right to receive one share of Altera Common Stock at no cost. |
(3) | 25% of the restricted stock unit granted on March 16, 2009 became vested on July 31, 2011 and shares were delivered to reporting person on that date. |
(4) | The sale was made pursuant to a Rule 10b5-1 Sales Plan adopted by the reporting person on January 28, 2011. |
(5) | The 15,526 shares sold on 8/1/2011 to cover the taxes on his 7/31/2011 RSU vest included 11 lots ranging from 100 shares to 3,100 shares per lot at sale prices ranging from $40.94 to $41.03 per share. |
(6) | Ten years from the date of grant. |