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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 | ||||||||
Non-Qualified Stock Option (right to buy) | $ 10.31 | 10/27/2009 | M | 500,000 | 05/28/2002 | 05/28/2012 | Common Stock | 500,000 | $ 0 (6) | 1,700,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KRIENS SCOTT 1194 NORTH MATHILDA AVENUE SUNNYVALE, CA 94089 |
X | Chairman of the Board |
By: Mitchell L. Gaynor, Attorney-in-Fact For: Scott G. Kriens | 10/28/2009 | |
**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) | Transaction pursuant to the Reporting Person's 10b5-1 Plan. |
(2) | The sale price represents the weighted average sale price in the range of 25.50 to 26.27 per share. The Company can provide the full information regarding the number of shares sold at each separate price upon further request. |
(3) | Held by the Kriens Family Foundation, over which the reporting person and his spouse exercise voting and investment control. |
(4) | Held by the Kriens 1996 Trust U/T/A October 29, 1996 over which the Reporting Person and his spouse exercise investment and voting control. |
(5) | Held by Saratoga Investments, LP over which the reporting person exercises voting and investment control. |
(6) | Column 8 is not an applicable reportable field. |