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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) | $ 0.03 | 04/06/2007 | A | 22,890 | 02/14/2004 | 02/14/2010 | Common Stock | 22,890 | (2) | 22,890 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 3.94 | 04/06/2007 | A | 71,531 | 02/22/2006 | 02/22/2012 | Common Stock | 71,531 | (3) | 71,531 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 6.86 | 04/06/2007 | A | 57,225 | 01/28/2007 | 01/28/2013 | Common Stock | 57,225 | (4) | 57,225 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 11.82 | 04/06/2007 | A | 47,687 | 02/24/2005 | 07/20/2014 | Common Stock | 47,687 | (5) | 47,687 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 9.91 | 04/06/2007 | A | 38,150 | (6) | 05/18/2015 | Common Stock | 38,150 | (6) | 38,150 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 9.21 | 04/06/2007 | A | 23,843 | (7) | 02/08/2016 | Common Stock | 23,843 | (7) | 23,843 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 10.74 | 04/06/2007 | A | 57,225 | (8) | 08/03/2016 | Common Stock | 57,225 | (8) | 57,225 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BUTTERFIELD GREGORY S 20330 STEVENS CREEK BLVD. CUPERTINO, CA 95014 |
Group President, Altiris Div |
/s/ Greg King, as attorney-in-fact for Gregory S. Butterfield | 04/10/2007 | |
**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) | Represents shares issuable pursuant to restricted stock units received in exchange for 15,000 restricted stock units of Altiris, Inc., in connection with the merger of Altiris, Inc. into Symantec Corporation on April 6, 2007 (the "Merger"), based on an exchange ratio of 1.9075. On the trading date preceding the effective date of the Merger (the effective date was not a trading day), the closing prices of Altiris, Inc. common stock and Symantec Corporation common stock were $32.98 per share and $16.92 per share, respectively. 50% of the RSU will vest on October 6, 2007 and the remainder will vest on April 6, 2008. |
(2) | Option received in the Merger in exchange for an employee stock option to acquire 12,000 shares of Altiris, Inc. for $0.05 per share. |
(3) | Option received in the Merger in exchange for an employee stock option to acquire 37,500 shares of Altiris, Inc. for $7.50 per share. |
(4) | Option received in the Merger in exchange for an employee stock option to acquire 30,000 shares of Altiris, Inc. for $13.08 per share. |
(5) | Option received in the Merger in exchange for an employee stock option to acquire 25,000 shares of Altiris, Inc. for $22.53 per share. |
(6) | Option received in the Merger in exchange for an employee stock option to acquire 20,000 shares of Altiris, Inc. for $18.90 per share. The option vests in three equal annual installments starting from February 24, 2005, subject to 50% acceleration for the unvested shares on the effective date of the Merger and the remainder to vest in 25% increments on the 6 month and 12 month anniversary of the Merger. |
(7) | Option received in the Merger in exchange for an employee stock option to acquire 12,500 shares of Altiris, Inc. for $17.55 per share. The option vests in three equal annual installments starting from February 8, 2006, subject to 50% acceleration for the unvested shares on the effective date of the Merger and the remainder to vest in 25% increments on the 6 month and 12 month anniversary of the Merger. |
(8) | Option received in the Merger in exchange for an employee stock option to acquire 30,000 shares of Altiris, Inc. for $20.48 per share. The option vests in three equal annual installments starting from August 3, 2006, subject to 50% acceleration for the unvested shares on the effective date of the Merger and the remainder to vest in 25% increments on the 6 month and 12 month anniversary of the Merger. |