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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) | $ 17.09 | 11/09/2011 | A | 117,895 | 11/09/2012(6) | 11/09/2018 | Common Stock | 117,895 | $ 0 | 117,895 | D | ||||
Non-qualified Stock Option (Right to Buy) (3) | $ 2.565 | 11/10/2011 | M | 100,000 | 11/13/2002 | 11/13/2011 | Common Stock | 100,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MUIR GLENN P 35 CROSBY DRIVE BEDFORD, MA 01730 |
X | Executive VP and CFO |
Mark J. Casey, Attorney-In-Fact For: Glenn P. Muir | 11/14/2011 | |
**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) | These shares represent restricted stock units (RSUs) awarded to the Reporting Person pursuant to the 2008 Equity Incentive Plan and are subject to vesting as provided in the agreement evidencing the award. |
(2) | The disposition of 1,823 shares of common stock reported on this Form 4 relates to a tax withholding transaction in connection with the vesting of restricted stock units. |
(3) | This transaction constitutes a cashless exercise of a Non-Qualified Stock Option granted November 13, 2001 which would otherwise expire November 13, 2011. |
(4) | The disposition of 4,391 shares of common stock reported on this Form 4 relates to a tax withholding transaction in connection with the vesting of restricted stock units. |
(5) | The disposition of 6,576 shares of common stock reported on this Form 4 relates to a tax withholding transaction in connection with the vesting of restricted stock units. |
(6) | The option, issued pursuant to the 2008 Equity Incentive Plan, becomes exercisable in five equal annual installments beginning November 9, 2012. |
(7) | The transaction reported herein reflects an aggregate of sales whose prices ranged between $16.93 and $17.26. The Reporting Person further undertakes, to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full disclosure with respect to the number of shares sold at each separate price. |
(8) | The sale reported on this Form 4 was made pursuant to a written trading plan adopted in accordance with SEC Rule 10b5-1 on August 19, 2009. |