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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 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) | $ 44.6875 | 12/22/2006 | D(1) | 8,658 | (2) | 08/13/2010 | Common Stock | 8,658 | (1) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 68.81 | 12/22/2006 | A(1) | 8,658 | (2) | 08/13/2010 | Common Stock | 8,658 | (1) | 8,658 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 26.25 | 12/22/2006 | D(1) | 1,000 | (2) | 11/10/2010 | Common Stock | 1,000 | (1) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 32.88 | 12/22/2006 | A(1) | 1,000 | (2) | 11/10/2010 | Common Stock | 1,000 | (1) | 1,000 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 32.75 | 12/22/2006 | D(1) | 2,667 | (2) | 10/02/2011 | Common Stock | 2,667 | (1) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 50.82 | 12/22/2006 | A(1) | 2,667 | (2) | 10/02/2011 | Common Stock | 2,667 | (1) | 2,667 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 29.31 | 12/22/2006 | D(1) | 14,000 | (2) | 04/04/2011 | Common Stock | 14,000 | (1) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 45.25 | 12/22/2006 | A(1) | 14,000 | (2) | 04/04/2011 | Common Stock | 14,000 | (1) | 14,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KISPERT JOHN H 160 RIO ROBLES SAN JOSE, CA 95130 |
Chief Operating Officer |
/s/ Jeff Hall, Attorney in fact for John Kispert | 12/29/2006 | |
**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 reported transactions are exempt under SEC Rule 16-b-3, and the related disposition and acquisition transactions for each option involved an amendment to a portion of that option increasing the exercise price per share of such portion to comply with the requirements of Section 409A of the Internal Revenue Code. Such amendment is deemed the cancellation of the portion of the lower-priced option and the grant a replacement option at the higher exercise price per share. |
(2) | The option is currently exercisable for vested shares. |