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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 Options | $ 3.345 | 09/16/2013 | M | 4,000 | 09/11/2010(3) | 03/06/2016 | Ordinary Shares | 4,000 | $ 0 | 5,000 | D | ||||
NQ Stock Options | $ 11.065 | 09/16/2013 | M | 1,750 | 09/13/2011(4) | 09/13/2017 | Ordinary Shares | 1,750 | $ 0 | 16,250 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MASSARONI KENNETH M SEAGATE TECHNOLOGY PLC 10200 S. DE ANZA BOULEVARD CUPERTINO, CA 95014 |
EVP,General Counsel, CAO |
/s/ Roberta S. Cohen by power of attorney | 09/17/2013 | |
**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) | Ordinary Shares reported sold pursuant to a 10b5-1 trading plan to cover the tax liabilities relating to the vesting of Restricted Stock Units under an award agreement dated September 13, 2010. |
(2) | Shares sold under a 10b5-1 Trading Plan. |
(3) | Options granted to the Reporting Person under the Seagate Technology 2004 Stock Compensation Plan are subject to a four and one half year vesting schedule. One quarter of the options vested on September 11, 2010. Following continuous employment, the remaining options vested proportionately over the 36 months following September 11, 2010. |
(4) | Options granted to the Reporting Person under the Seagate Technology 2001 Stock Option Plan are subject to a four year vesting schedule. One quarter of the options vested on September 13, 2011. Following continuous employment, the remaining options vest proportionately over the 36 months following September 13, 2011. |