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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) | $ 1.4525 | 06/30/2008 | D(3) | 7,302 | (4) | 08/25/2015 | Common Stock | 7,302 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 6.43 | 06/30/2008 | D(3) | 36,000 | (5) | 09/30/2016 | Common Stock | 36,000 | $ 0 | 28,000 | D | ||||
Stock Option (right to buy) | $ 8.5 | 06/30/2008 | D(3) | 12,500 | (6) | 12/31/2016 | Common stock | 12,500 | $ 0 | 7,500 | D | ||||
Stock Option (right to buy) | $ 15.11 | 06/30/2008 | D(3) | 38,000 | (7) | 03/31/2018 | Common Stock | 38,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Arthur Jacqueline D C/O MONOTYPE IMAGING HOLDINGS INC. 500 UNICORN PARK DRIVE WOBURN, MA 01801 |
Sr. VP,CFO,Treas and Ast. Sec. | Employment Terminated 6/30/08 |
/s/ Janet M. Dunlap, Attorney-in-Fact | 07/02/2008 | |
**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 issuer has exercised its right to repurchase these shares pursuant to the terms of the applicable restricted stock agreement at the original purchase price per share upon the termination of the reporting person's employment with the issuer. |
(2) | 23,784 of these shares of common stock are held by the sons of the reporting person and are thus held indirectly. |
(3) | The option to purchase these shares was unvested and was forfeited by the reporting person upon the termination of the reporting person's employment with the issuer. |
(4) | The reporting person was granted an option to purchase a total of 23,364 shares on 8/25/2005. 25% of the total option vested on 8/25/2006 with the remaining portion vesting quarterly over the following three years. As of the date of this report, the reporting person had exercised options to purchase a total of 16,062 shares of common stock. |
(5) | The reporting person was granted an option to purchase 64,000 shares on 9/30/2006. 25% of the total option vested on 9/30/2007, with the remaining portion vesting quarterly over the following three years. As of the date of this report, options to purchase 28,000 shares were vested, but the reporting person had not exercised any of these options. |
(6) | The reporting person was granted an option to purchase a total of 20,000 shares on 12/31/2006. 25% of the total option vested on 12/31/2007, with the remaining portion vesting quarterly over the following three years. As of the date of this report, options to purchase 7,500 shares were vested, but the reporting person had not exercised any of these options. |
(7) | The reporting person was granted an option to purchase a total of 38,000 shares on 3/31/2008. 25% of the total option would have vested on 3/31/2009, with the remaining portion vesting quarterly over the following three years. None of these options vested prior to forfeiture upon the termination of the reporting person's employment with the issuer. |