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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 | ||||||||
NQ Stock Options | $ 3.345 | 08/13/2013 | M | 1,667 | 09/11/2010(3) | 03/06/2016 | Ordinary Shares | 1,667 | $ 0 | 1,667 | D | ||||
NQ Stock Options | $ 11.065 | 08/13/2013 | M | 573 | 09/13/2011(4) | 09/13/2017 | Ordinary Shares | 573 | $ 0 | 7,448 | D | ||||
NQ Stock Options | $ 11.155 | 08/13/2013 | M | 609 | 09/12/2012(5) | 09/12/2018 | Ordinary Shares | 609 | $ 0 | 15,235 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MORTON DAVID H JR SEAGATE TECHNOLOGY PLC 10200 S. DE ANZA BOULEVARD CUPERTINO, CA 95014 |
VP, FINANCE, TREASURER & PAO |
/s/ Roberta S Cohen by power of attorney | 08/14/2013 | |
**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) | On July 31, 2013, the Reporting Person purchased 262 Ordinary Shares under the Issuer's Employee Stock Purchase Plan. Such acquisition is exempt from reporting pursuant to Rule 16b-3 under the Securities Exchange Act of 1934. |
(2) | Shares sold under a 10b5-1 Trading Plan. |
(3) | Options granted to the Reporting Person under the Issuer's 2004 Stock Compensation Plan are subject to a four and a half year vesting schedule. One quarter of the options vested on September 11, 2010. The remaining options vest in equal monthly installments over the 36 months following September 11, 2010. |
(4) | Options granted to the Reporting Person under the Issuer's 2001 Share Option Plan are subject to a four-year vesting schedule. One quarter of the options vested on September 13, 2011. The remaining options vest in equal monthly installments over the 36 months following September 13, 2011. |
(5) | Options granted to the Reporting Person under the Issuer's 2004 Stock Compensation Plan are subject to a four-year vesting schedule. One quarter of the options vested on September 12, 2012. The remaining options vest in equal monthly installments over the 36 months following September 12, 2012. |