SEC Form 4 · accession 0001127602-19-005995
ILLUMINA, INC. · ILMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Francis A deSouza
Officer — President and CEO · Director
Period of report
Feb 12, 2019
Accepted (ET)
Feb 14, 2019 · 4:17 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 12, 2019 | M | 16,508 | $0.00 | A | 80,720 | D | |
| Common StockF2 | Feb 12, 2019 | A | 3,467 | $0.00 | A | 84,187 | D | |
| Common Stock | Feb 12, 2019 | F | 9,390 | $292.20 | D | 74,797 | D | |
| Common StockF3 | Feb 12, 2019 | M | 8,113 | $0.00 | A | 82,910 | D | |
| Common StockF4 | Feb 12, 2019 | A | 1,704 | $0.00 | A | 84,614 | D | |
| Common StockF5 | Feb 12, 2019 | F | 4,868 | $292.20 | D | 79,746 | 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 12, 2019 | M | 16,508 | D | — | Dec 30, 2018 | Common Stock | 16,508 | 0 | D |
| Performance SharesF3 | — | Feb 12, 2019 | M | 8,113 | D | — | Dec 30, 2018 | Common Stock | 8,113 | 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 December 8, 2015.
- F2Represents additional shares of stock awarded as a result of the Company achieving at least 121% of the applicable performance criteria pursuant to the reporting person's grant of performance share units on December 8, 2015.
- F3Represents 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 July 5, 2016.
- F4Represents additional shares of stock awarded as a result of the Company achieving at least 121% of the applicable performance criteria pursuant to the reporting person's grant of performance share units on July 5, 2016.
- F5Balance includes 108 shares acquired through Employee Stock Purchase Plan.