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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 | ||||||||
Restricted Stock Units | (1) | 01/31/2014 | A | 140,000 | (3) | (3) | Class A Common Stock | 140,000 | $ 0 (1) | 140,000 | D | ||||
Performance Stock Units | (2) | 01/31/2014 | A | 140,000 | (2) | (2) | Class A Common Stock | 140,000 | $ 0 (2) | 140,000 | D | ||||
Restricted Stock Units | (1) | 01/31/2014 | M | 27,000 | (3) | (3) | Class A Common Stock | 27,000 | $ 0 (1) | 54,000 | D | ||||
Performance Stock Units | (2) | 01/31/2014 | M | 53,972 | (2) | (2) | Class A Common Stock | 53,972 | $ 0 (2) | 0 | D | ||||
Performance Stock Units | (2) | 01/31/2014 | M | 41,666 | (2) | (2) | Class A Common Stock | 41,666 | $ 0 (2) | 100,002 | D | ||||
Performance Stock Units | (2) | 01/31/2014 | M | 13,125 | (2) | (2) | Class A Common Stoc | 13,125 | $ 0 (2) | 44,625 | D | ||||
Performance Stock Units | (2) | 01/31/2014 | M | 60,000 | (2) | (2) | Class A Common Stoc | 60,000 | $ 0 (2) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KISPERT JOHN H 915 DEGUIGNE DRIVE SUNNYVALE, CA 94085-3836 |
X | President and CEO |
/s/ Katy Motiey, Attorney-in-fact for: John H. Kispert | 02/04/2014 | |
**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) | Upon vesting of the restricted stock units ("RSUs"), the Reporting Person is entitled to receive one (1) share of Class A Common Stock for each one (1) RSU. |
(2) | Subject to the achievement of certain performance objectives, upon vesting of the performance based restricted stock units ("PSUs"), the Reporting Person is entitled to receive one (1) share of Class A Common Stock for each one (1) PSU. |
(3) | Vests one-third annually on the anniversary of the date of grant. |
(4) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan and were for payment of the tax liability incident to the vesting of a security issued in accordance with Rule 16b-3. |