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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 | ||||||||
Performance Shares | (10) | 12/08/2015 | A | 28,888 (10) | (10) | 12/30/2018 | Common Stock | 28,888 | $ 0 | 28,888 | D | ||||
Non-qualified Stock Option (Right to Buy) | $ 27.97 | 12/08/2015 | M | 25,000 (2) | 03/01/2009 | 01/29/2019 | Common Stock | 25,000 | $ 0 | 15,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FLATLEY JAY T 5200 ILLUMINA WAY SAN DIEGO, CA 92122 |
Chief Executive Officer |
By: Scott M. Davies for Jay T. Flatley | 12/10/2015 | |
**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) | Grant of restricted stock units that vest as follows: 25% of the shares subject to the award become vested on November 5, 2016, November 5, 2017, November 5, 2018, and November 5, 2019, subject to awardee's continuing to be a service provider on such dates. |
(2) | The sale was made pursuant to a 10b5-1 plan. |
(3) | Weighted average sale price representing 6,384 shares sold ranging from $173.56 to $174.53 per share. Number of shares sold at each separate price will be made available to the SEC staff, the issuer, or a security holder of the issuer upon request. |
(4) | Weighted average sale price representing 2,851 shares sold ranging from $174.59 to $175.49 per share. Number of shares sold at each separate price will be made available to the SEC staff, the issuer, or a security holder of the issuer upon request. |
(5) | Weighted average sale price representing 463 shares sold ranging from $175.65 to $176.32 per share. Number of shares sold at each separate price will be made available to the SEC staff, the issuer, or a security holder of the issuer upon request. |
(6) | Weighted average sale price representing 4,068 shares sold ranging from $176.68 to $177.58 per share. Number of shares sold at each separate price will be made available to the SEC staff, the issuer, or a security holder of the issuer upon request. |
(7) | Weighted average sale price representing 3,270 shares sold ranging from $177.75 to $178.73 per share. Number of shares sold at each separate price will be made available to the SEC staff, the issuer, or a security holder of the issuer upon request. |
(8) | Weighted average sale price representing 1,764 shares sold ranging from $178.78 to $179.72 per share. Number of shares sold at each separate price will be made available to the SEC staff, the issuer, or a security holder of the issuer upon request. |
(9) | Weighted average sale price representing 6,200 shares sold ranging from $179.80 to $180.41 per share. Number of shares sold at each separate price will be made available to the SEC staff, the issuer, or a security holder of the issuer upon request. |
(10) | Each performance stock unit represents a contingent right to receive one share of common stock based on the Company's earnings per share for the fiscal year ending December 30, 2018. The number of shares issued will range from 0% to 150% of the amount specified above, based on the Company's actual earnings per share for the fiscal year ending December 30, 2018, relative to pre-defined objectives, subject to awardee's continuing to be a service provider on such dates. |