SEC Form 4 · accession 0001127602-15-024813
ILLUMINA, INC. · ILMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert S Epstein
Director
Period of report
Aug 10, 2015
Accepted (ET)
Aug 12, 2015 · 6:46 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001110803
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Aug 10, 2015 | M | 2,000 | $51.17 | A | 9,935 | D | |
| Common StockF1,F2 | Aug 10, 2015 | S | 2,000 | $212.09 | D | 7,935 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-qualified Stock Option (Right to Buy)F2,F3 | $51.17 | Aug 10, 2015 | M | 2,000 | D | Nov 26, 2013 | Nov 26, 2022 | Common Stock | 2,000 | 16,000 | D |
Explanation of responses
- F1Grant of restricted stock units. 100% of the shares subject to the restricted stock unit award shall vest on the earlier of (i) the one year anniversary of the date of grant of the award and (ii) the date immediately preceding the date of the annual meeting of the company's stockholders for the year following the year of grant of the award, provided, in each case, that the awardee continues to serve as a director on such date.
- F2The sale was made pursuant to a 10b5-1 plan.
- F3Grant vests over four years with 25% vesting on the anniversary of the grant date and the remaining portion vesting monthly, subject to optionee's continuing to be a service provider on such date.