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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) | $ 29.5 | 10/02/2013 | M | 15,000 | 03/26/2013(1) | 03/26/2017 | Common Stock | 15,000 | $ 0 | 11,611 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 32.9 | 10/02/2013 | M | 41,960 | 03/12/2012(4) | 03/12/2014 | Common Stock | 41,960 | $ 0 | 0 | D | ||||
Incentive Stock Option (right to buy) | $ 32.9 | 10/02/2013 | M | 3,040 | 03/12/2012(4) | 03/12/2014 | Common Stock | 3,040 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BECKER JAN 111 MCINNIS PARKWAY SAN RAFAEL, CA 94903 |
Sr VP, Human Res, Corp RE |
Nancy R. Thiel, Attorney-in-Fact for Jan Becker | 10/04/2013 | |
**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) | The option vests over a 4-year period beginning on March 26, 2010 at the rate of 15,000 shares on each of the first, second and third anniversaries, and 11,611 shares on the fourth anniversary. |
(2) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 3, 2013. |
(3) | Includes shares acquired in September 2013 pursuant to the Issuer's Employee Stock Purchase Plan. |
(4) | The option vested in annual installments over a four year period beginning on March 12, 2008, and was fully vested and exercisable as of the Transaction Date. |