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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 | ||||||||
NQ Stock Option | $ 13.62 | 04/01/2011 | M | 19,286 | 09/16/2005(4) | 09/16/2011 | Ordinary Shares | 19,286 | $ 0 | 45,215 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MOSLEY WILLIAM D SEAGATE TECHNOLOGY 920 DISC DRIVE SCOTTS VALLEY, CA 96066 |
EVP, Operations |
/S/ Roberta S Cohen for William D Mosley | 04/05/2011 | |
**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) | Includes 682 shares purchased on January 31, 2011 under the Employee Stock Purchase Plan at $10.9905 per share. |
(2) | Excludes 61,120 Performance Unit Shares and 22,000 Performance Shares previously reported on Mr. Mosley's Form 4 dated September 15, 2010. The vesting of of these awards remain subject to the achievement of performance goals that are not tied to the market price of the Company's ordinary shares. Pursuant to the Securities and Exchange Commission's interpretative guidance, these Performance Unit Shares and Performance Shares are not required to be reported on Mr. Mosley's Section 16 filings until such performance goals have been achieved. |
(3) | The Sale reported on this Form 4 was affected by a 10b5-1 trading plan adopted by the Reporting Person on February 22, 2011. |
(4) | Options granted to the Reporting Person under the 2001 Share Option Plan and are subject to a five-year vesting schedule. One quarter of the shares vested as of September 16, 2005. The remainder of the shares vested proportionally eache month over the 48 months following September 16, 2005. |