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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 Appreciation Right | $ 8.43 | 01/04/2010 | M | 6,563 | (1) | 10/31/2011 | Common Stock | 6,563 | $ 0 | 19,687 | D | ||||
Stock Appreciation Right | $ 7.69 | 01/04/2010 | M | 27,334 | (2) | 12/17/2010 | Common Stock | 27,334 | $ 0 | 32,666 | D | ||||
Stock Appreciation Right | $ 7.69 | 01/04/2010 | M | 20,000 | (3) | 12/17/2010 | Common Stock | 20,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BRUGGINK FREDERIK 550 MERIDIAN AVE SAN JOSE, CA 95126 |
Sr. VP & GM of Ser Prov Gp |
/s/ Oliver R. Stanfield, attorney-in-fact for Frederik Bruggink | 01/06/2010 | |
**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 exercised 6,563 of the 26,250 share stock appreciation right grant dated October 31, 2006. Such 26,250 stock appreciation right grant vests at the following rate: 1/4th of such shares on October 31, 2007 and on each one year anniversary thereafter. |
(2) | The Reporting Person exercised 27,334 of the 60,000 share stock appreciation right grant dated December 17, 2008. Such 60,000 stock appreciation right grant vests 100% on December 17, 2009. |
(3) | The Reporting Person exercised 20,000 of the 20,000 share stock appreciation right grant dated December 17, 2008. Such 20,000 stock appreciation right grant vests 100% on December 17, 2009. |