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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 | ||||||||
Stock Option (Right to Buy) | $ 12.08 | 10/31/2012 | M | 5,410 | (3) | 01/04/2020 | Common Stock | 13,812 | $ 0 | 0 | D | ||||
Stock Option (Right to Buy) | $ 12.08 | 10/31/2012 | M | 11,592 | (4) | 01/04/2020 | Common Stock | 11,510 | $ 0 | 0 | D | ||||
Stock Option (Right to Buy) | $ 11.61 | 10/31/2012 | M | 12,541 | (5) | 05/14/2020 | Common Stock | 12,541 | $ 0 | 0 | D | ||||
Stock Option (Right to Buy) | $ 13.26 | 10/31/2012 | M | 2,414 | (6) | 04/27/2019 | Common Stock | 2,414 | $ 0 | 7,245 | D | ||||
Stock Option (Right to Buy) | $ 13.26 | 10/31/2012 | D | 7,245 | (7) | 04/27/2019 | Common Stock | 7,245 | $ 6.24 | 0 | D | ||||
Restricted Stock Units | (8) | 10/31/2012 | D | 2,828 | (9) | (9) | Common Stock | 2,828 | $ 19.5 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TIMMINS RICK C/O IRIS INTERNATIONAL, INC. 9158 ETON AVENUE CHATSWORTH, CA 91311 |
X |
/s/ Todd M. Graham, Attorney-in-Fact | 11/01/2012 | |
**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 shares were retained by the company in payment of the exercise price incurred in connection with the exercise of the option. |
(2) | Pursuant to a Tender and Support Agreement dated September 17, 2012 by and among each director and officer of IRIS International, Inc., IRIS International, Inc., Danaher Corporation and Daphne Acquisition Corporation, the reporting person sold these shares of Common Stock to Daphne Acquisition Corporation in exchange for consideration of $19.50 per share. |
(3) | The stock options vested in three equal installments of 3,864 shares on each of July 4, 2010, October 4, 2010 and January 4, 2011. |
(4) | The stock options vested in two equal installments of 2,705 on each of February 22, 2010 and May 22, 2010. |
(5) | The stock options vested in three equal installments on each of November 14, 2010, February 14, 2011 and May 14, 2011. |
(6) | Vested / will vest 25% on each of July 31, 2012, October 31, 2012, January 31, 2013 and April 30, 2013. |
(7) | Pursuant to the Agreement and Plan of Merger dated September 17, 2012 by and among Danaher Corporation, Daphne Acquisition Corporation and IRIS International, Inc. (the "Merger Agreement"), this option vested in full and was cancelled in the merger in exchange for a cash amount equal to the number of shares underlying this option multiplied by the difference between the per share merger consideration of $19.50 and the per share exercise price of this option. |
(8) | Each restricted stock unit represents a contingent right to receive one share of IRIS International, Inc. common stock. |
(9) | Pursuant to the Merger Agreement, these restricted stock units vested in full and were cancelled in the merger in exchange for a cash amount equal to the number of shares underlying the restricted stock units multiplied by the per share merger consideration of $19.50. |