|
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 |
|
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Performance Shares | (11) | 07/01/2011 | M | 1,693 | (13) | 03/01/2013 | Common Stock | 1,693 | $ 0 | 32,183 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
OSHMAN M KENNETH 550 MERIDIAN AVE SAN JOSE, CA 95126 |
X | Executive Chairman |
/s/ Oliver R. Stanfield, attorney-in-fact for M. Kenneth Oshman | 07/06/2011 | |
**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) | These shares are held by the Oshman Trust dated July 10, 1979, of which the Reporting Person and his spouse, Barbara S. Oshman, serve as co-trustees. |
(2) | These shares are held by the M. Kenneth Oshman 2010A Annuity Trust dated August 18, 2010. |
(3) | These shares are held by the Barbara S. Oshman 2010A Annuity Trust dated August 18, 2010. |
(4) | These shares are held by the M. Kenneth Oshman 2009A Annuity Trust dated August 4, 2009. |
(5) | These shares are held by the Barbara S. Oshman 2009A Annuity Trust dated August 4, 2009. |
(6) | These shares are held by the M. Kenneth Oshman 2010 Annuity Trust dated February 23, 2010. |
(7) | These shares are held by the Barbara S. Oshman 2010 Annuity Trust dated February 23, 2010. |
(8) | These shares are held by O-S Ventures, a general partnership, of which M. Kenneth Oshman is general partner. |
(9) | These shares are held by the M. Kenneth Oshman 2011 Annuity Trust #1 dated February 25, 2011. |
(10) | These shares are held by the Barbara S. Oshman 2011 Annuity Trust #1 dated February 25, 2011. |
(11) | Each performance share represents the right to receive one share of the Issuer's Common Stock. |
(12) | This trade was executed pursuant to a Rule 10b5-1 trading plan adopted on March 7, 2011. |
(13) | 1,693 of the 40,651 shares granted to M. Kenneth Oshman under the Issuer's 1997 Stock Plan were vested and released to M. Kenneth Oshman effective July 1, 2011. Such 40,651 share grant vests at the following rate: 1/24th of such shares on March 1, 2011 and on each one-month anniversary thereafter. |