SEC Form 4 · accession 0001127602-17-007124
ILLUMINA, INC. · ILMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marc Stapley
Officer — EVP & Chief Administrative Ofc
Period of report
Feb 15, 2017
Accepted (ET)
Feb 17, 2017 · 8:51 pm EST
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 | Feb 15, 2017 | M | 8,438 | $0.00 | A | 44,423 | D | |
| Common StockF2 | Feb 15, 2017 | A | 4,219 | $0.00 | A | 48,642 | D | |
| Common StockF3 | Feb 15, 2017 | F | 6,001 | $163.29 | D | 42,641 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance SharesF1 | — | Feb 15, 2017 | M | 8,438 | D | — | Jan 1, 2017 | Common Stock | 8,438 | 0 | D |
Explanation of responses
- F1Represents shares of stock awarded as a result of the Company achieving at least 100% of the applicable performance criteria pursuant to the reporting person's grant of performance share units on Jan. 29, 2014.
- F2Represents additional shares of stock awarded as a result of the Company achieving at least 150% of the applicable performance criteria pursuant to the reporting person's grant of performance share units on Jan. 29, 2014.
- F3Balance includes 235 shares acquired through Employee Stock Purchase Plan.