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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) | $ 178.3867 | 02/01/2018 | D | 4,119 | (1) | 02/16/2026 | Common Stock | 4,119 | $ 0 (2) | 2,631 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 230.9967 | 02/01/2018 | D | 6,750 | (3) | 08/15/2026 | Common Stock | 6,750 | $ 0 (2) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GUTHART GARY S 1020 KIFER ROAD SUNNYVALE, CA 94086 |
X | President & CEO |
/s/ Gary S Guthart | 02/05/2018 | |
**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 remaining shares subject to the option will continue to vest as to 1/8th of the shares six months following 2/16/2016 and 1/48th monthly thereafter. |
(2) | The option was cancelled with respect to the number of shares reported pursuant to an agreement between the reporting person and the issuer. The option cancellation was in partial satisfaction of the terms of a settlement of claims brought in a purported stockholder's derivative lawsuit against the reporting person, among other current and former officers and directors of the issuer, and the issuer as a nominal defendant. |
(3) | The option was vesting as to 7/48th of the shares one month following 8/15/2016 and 1/48th monthly thereafter immediately prior to cancellation. |