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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 | ||||||||
Director Stock Option (Right to Buy) | $ 1 | 11/05/2004 | M | 37,187 | (3) | 12/17/2008 | Common Stock | 37,187 | $ 0 | 0 | D | ||||
Director Stock Option (Right to Buy) | $ 1 | 11/05/2004 | M | 10,000 | (4) | 12/17/2008 | Common Stock | 10,000 | $ 0 | 0 | D | ||||
Director Stock Option (Right to Buy) | $ 2 | 11/05/2004 | M | 25,000 | (5) | 03/01/2009 | Common Stock | 25,000 | $ 0 | 24,271 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FAGGIN FEDERICO 2381 BERING DRIVE SAN JOSE, CA 95131 |
X |
Federico Faggin | 11/05/2004 | |
**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 reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
(2) | The shares are held by 1999 Faggin Trust fbo Eric Faggin. |
(3) | 25% of the total number of shares subject to the option vested and became exercisable on the twelve month anniversary of the 12/18/98 vesting commencement date, and 1/48th of the total number of shares subject to the option vested and became exercisable on the 18th day of each month thereafter. |
(4) | 1/48th of the total number of shares subject to the option vested and became exercisable on the 18th day of each month following the 12/18/98 vesting commencement date. |
(5) | 25% of the total number of shares subject to the option vested and became exercisable on the twelve month anniversary of the 3/01/99 date of grant, and 1/48th of the total number of shares subject to the option vested or shall vest and became or shall become exercisable on the first day of each month thereafter. |
Remarks: The reporting person no longer has a reportable beneficial interest in 1,000 shares of the issuer's common stock owned by one of his sons and 100,000 shares of the issuer's common stock owned by the 1999 Faggin Trust fbo Marc Faggin, which were included in the reporting person's prior ownership reports. |