SEC Form 4 · accession 0000899243-16-033218
ELECTRONICS FOR IMAGING INC · EFII
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Georgens
Director
Period of report
Nov 8, 2016
Accepted (ET)
Nov 10, 2016 · 6:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000867374
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 9, 2016 | M | 6,500 | — | A | 43,500 | D | |
| Common Stock | Nov 9, 2016 | M | 23,379 | $11.92 | A | 66,879 | D | |
| Common StockF2 | Nov 9, 2016 | S | 23,379 | $43.24 | D | 43,500 | D | |
| Common Stock | Nov 10, 2016 | M | 1,621 | $11.92 | A | 45,121 | D | |
| Common Stock | Nov 10, 2016 | S | 1,621 | $43.90 | D | 43,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4 | — | Nov 8, 2016 | M | 6,500 | A | — | Nov 8, 2017 | Common Stock | 6,500 | 6,500 | D |
| Restricted Stock UnitsF3,F5 | — | Nov 9, 2016 | M | 6,500 | D | — | Nov 9, 2016 | Common Stock | 6,500 | 0 | D |
| Option - Right to BuyF6 | $11.92 | Nov 9, 2016 | M | 23,379 | D | — | Feb 11, 2017 | Common Stock | 23,379 | 1,621 | D |
| Option - Right to BuyF6 | $11.92 | Nov 10, 2016 | M | 1,621 | D | — | Feb 11, 2017 | Common Stock | 1,621 | 0 | D |
Explanation of responses
- F1Upon vesting, each restricted stock unit was converted into one share of Electronics For Imaging, Inc. common stock.
- F2This transaction was executed in multiple trades ranging from $43.11 to $43.35. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
- F3Each restricted stock unit represents a contingent right to receive one share of Electronics For Imaging, Inc. common stock.
- F4This restricted stock unit award was granted on November 8, 2016 and is scheduled to vest with respect to 100% of the shares on November 8, 2017.
- F5This restricted stock unit award was granted on November 9, 2015 and vested with respect to 100% of the shares on November 9, 2016.
- F6This stock option award was granted on February 11, 2010, and vested and became exercisable with respect to 25% of the award on the first anniversary of the date of grant and thereafter with respect to an additional 2.5% of the award each month, with full vesting in 42 months.