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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) | $ 4.53 | 05/10/2007 | A | 20,000 | (1) | 05/10/2017 | Common Stock | 20,000 | (2) | 20,000 (3) | D | ||||
Stock Option (right to buy) | $ 4.53 | 05/10/2007 | A | 20,000 | (4) | 05/10/2017 | Common Stock | 20,000 | (2) | 20,000 (3) | D | ||||
Stock Option (right to buy) | $ 4.53 | 05/10/2007 | A | 30,001 | (5) | 05/10/2017 | Common Stock | 30,001 | (2) | 30,001 (3) | D | ||||
Restricted Stock Units | (6) | 05/10/2007 | A | 8,000 | (7) | (7) | Common Stock | 8,000 | (2) | 8,000 (8) | D | ||||
Restricted Stock Units | (6) | 05/10/2007 | A | 8,000 | (9) | (9) | Common Stock | 8,000 | (2) | 8,000 (8) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PETERSON PHILLIP D 2201 TENTH STREET PLANO, TX 75074 |
General Counsel |
/s/ Phillip D. Peterson | 05/11/2007 | |
**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) | Options shall vest on May 11, 2010. |
(2) | Per instruction 4(c)(iii), this column has been left blank. |
(3) | Following the reported transactions of this Form 4, the reporting person holds 230,857 shares for outstanding options, including 95,857 shares for options which are currently exercisable and 135,000 shares for options which are not currently exercisable. |
(4) | Options shall vest on May 11, 2011. |
(5) | Options shall begin vesting on December 31, 2007 and will vest 1/24th each month for 24 months. |
(6) | Each restricted stock unit represents a contingent right to receive one share of Microtune common stock. |
(7) | The restricted stock units shall vest on May 11, 2010 and the underlying shares shall be delivered to the reporting person on or about such date. |
(8) | Following the reported transactions of this Form 4, the reporting person holds 34,980 restricted stock units, including 18,980 performance-based restricted stock units that were granted under Microtune's 2007 Incentive Compensation Program and which vest in whole or in part based on the achievement of specific performance goals. |
(9) | The restricted stock units shall vest on May 11, 2011 and the underlying shares shall be delivered to the reporting person on or about such date. |