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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 | $ 4.045 | 11/04/2011 | M | 100,000 | 01/30/2010(5) | 01/30/2016 | Ordinary Shares | 100,000 | $ 0 | 550,000 | D | ||||
NQ Stock Option | $ 13.73 | 11/04/2011 | M | 19,814 | 09/12/2009(6) | 09/12/2015 | Ordinary Shares | 19,814 | $ 0 | 30,186 | D | ||||
NQ Stock Option | $ 13.73 | 11/07/2011 | M | 1,019 | 09/12/2009(6) | 09/12/2015 | Ordinary Shares | 1,019 | $ 0 | 29,167 | D | ||||
NQ Stock Option | $ 4.045 | 11/07/2011 | M | 10,000 | 01/30/2010(5) | 01/30/2016 | Ordinary Shares | 10,000 | $ 0 | 540,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MOSLEY WILLIAM D SEAGATE TECHNOLOGY PLC 10200 S. DE ANZA BOULEVARD CUPERTINO, CA 95014 |
EVP, Sales and Marketing |
/S/ Roberta S Cohen for William D Mosley | 11/08/2011 | |
**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 686 shares purchased under the employee stock purchase plan on July 29, 2011. |
(2) | On July 8, 2011, the Compensation Committee of the Board of Directors of the Issuer authorized and confirmed that the performance metrics were met with respect to 5,500 of the 22,000 Performance Shares granted to Mr. Mosley on September 13, 2010 and reported on Mr. Mosley's Form 4 dated September 15, 2010. |
(3) | The Sale reported on this Form 4 was affected by a 10b5-1 trading plan adopted by the Reporting Person on May 24, 2011. |
(4) | The Sale reported on this Form 4 was affected by a 10b5-1 trading plan adopted by the Reporting Person on February 22, 2011. |
(5) | Options granted to the Reporting Person under the 2004 Stock Compensation Plan are subject to a four-year vesting schedule. One quarter of the shares vested on January 30, 2010. The remaining shares vest proportionally each month over the 36 months following January 30, 2010. |
(6) | Options granted to the Reporting Person under the 2004 Stock Compensation Plan and are subject to a four-year vesting schedule. One quarter of the shares vested as of September 12, 2009. The remainder of the shares vested proportionally each month over the 36 months following September 12, 2009. |