UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | Â (2) | 01/28/2020 | Common Stock | 5,780 (3) | $ 35.76 | D | Â |
Employee Stock Option (Right to Buy) | Â (4) | 10/28/2020 | Common Stock | 287 (5) | $ 46.5 | D | Â |
Employee Stock Option (Right to Buy) | Â (6) | 01/27/2021 | Common Stock | 335 (7) | $ 60.22 | D | Â |
Employee Stock Option (Right to Buy) | Â (8) | 04/28/2021 | Common Stock | 382 (9) | $ 61.4 | D | Â |
Employee Stock Option (Right to Buy) | Â (10) | 08/01/2021 | Common Stock | 431 (11) | $ 78.11 | D | Â |
Employee Stock Option (Right to Buy) | Â (12) | 10/24/2021 | Common Stock | 269 (13) | $ 62.105 | D | Â |
Employee Stock Option (Right to Buy) | Â (14) | 01/30/2022 | Common Stock | 296 (15) | $ 76.81 | D | Â |
Employee Stock Option (Right to Buy) | Â (16) | 04/24/2022 | Common Stock | 322 | $ 85.69 | D | Â |
Employee Stock Option (Right to Buy) | Â (17) | 07/31/2022 | Common Stock | 322 | $ 79.38 | D | Â |
Employee Stock Option (Right to Buy) | Â (18) | 10/23/2022 | Common Stock | 704 | $ 89.29 | D | Â |
Employee Stock Option (Right to Buy) | Â (19) | 01/29/2023 | Common Stock | 705 | $ 73.31 | D | Â |
Employee Stock Option (Right to Buy) | Â (20) | 04/29/2023 | Common Stock | 705 | $ 71.55 | D | Â |
Employee Stock Option (Right to Buy) | Â (21) | 07/29/2023 | Common Stock | 705 | $ 51.95 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Liu Shawn Tsai-Shyang 1251 MCKAY DRIVE SAN JOSE, CA 95131 |
 |  |  See Remarks |  |
Kermit Nolan, as Attorney-in-Fact | 08/02/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 (i) 1,396 shares that were acquired pursuant to the Issuer's employee stock purchase plan; (ii) 4,868 shares that were acquired upon delivery of vested deferred stock units; and (iii) 9,002 shares underlying deferred stock units that are not yet vested and deliverable. |
(2) | 1/3rd of the 23,500 shares subject to the option granted on 1/28/13 vested and became exercisable on 11/12/13 and 1/36th of the shares subject to the option vested and became exercisable on the 12th day of each month thereafter until fully vested on 11/12/15. |
(3) | Does not include 17,720 shares underlying the option that were previously exercised and sold. |
(4) | 1/12th of the 573 shares subject to the option granted on 10/28/13 vested and became exercisable each quarter commencing on 1/28/14 until fully vested on 10/28/16. |
(5) | Does not include 286 shares underlying the option that were previously exercised and sold. |
(6) | 1/12th of the 573 shares subject to the option granted on 1/27/14 vested and became exercisable each quarter commencing on 4/27/14 until fully vested on 1/27/17. |
(7) | Does not include 238 shares underlying the option that were previously exercised and sold. |
(8) | 1/12th of the 573 shares subject to the option granted on 4/28/14 vested and became exercisable each quarter commencing on 7/28/14 until fully vested on 4/28/17. |
(9) | Does not include 191 shares underlying the option that were previously exercised and sold. |
(10) | 1/12th of the 574 shares subject to the option granted on 8/01/14 vested and became exercisable each quarter commencing on 11/01/14 until fully vested on 8/01/17. |
(11) | Does not include 143 shares underlying the option that were previously exercised and sold. |
(12) | 1/12th of the 322 shares subject to the option granted on 10/24/14 vested or shall vest and became or shall become exercisable each quarter commencing on 1/24/15 until fully vested on 10/24/17. |
(13) | Does not include 53 shares underlying the option that were previously exercised and sold. |
(14) | 1/12th of the 322 shares subject to the option granted on 1/30/15 vested or shall vest and became or shall become exercisable each quarter commencing on 4/30/15 until fully vested on 1/30/18. |
(15) | Does not include 26 shares underlying the option that were previously exercised and sold. |
(16) | 1/12th of the 322 shares subject to the option granted on 4/24/15 vested or shall vest and became or shall become exercisable each quarter commencing on 7/24/15 until fully vested on 4/24/18. |
(17) | 1/12th of the 322 shares subject to the option granted on 7/31/15 vested or shall vest and became or shall become exercisable each quarter commencing on 10/31/15 until fully vested on 7/31/18. |
(18) | 1/12th of the 704 shares subject to the option granted on 10/23/15 vested or shall vest and became or shall become exercisable each quarter commencing on 1/23/16 until fully vested on 10/23/18. |
(19) | 1/12th of the 705 shares subject to the option granted on 1/29/16 vested or shall vest and became or shall become exercisable each quarter commencing on 4/29/16 until fully vested on 1/29/19. |
(20) | 1/12th of the 705 shares subject to the option granted on 4/29/16 vested or shall vest and became or shall become exercisable each quarter commencing on 7/29/16 until fully vested on 4/29/19. |
(21) | 1/12th of the 705 shares subject to the option granted on 7/29/16 vested or shall vest and became or shall become exercisable each quarter commencing on 10/29/16 until fully vested on 7/29/19. |
 Remarks: The reporting person is the Vice President and General Manager of the PC division. Exhibit List Exhibit 24 - Limited Power of Attorney |