SEC Form 4 · accession 0001140361-15-001792
AFFYMETRIX INC · AFFX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gavin Wood
Officer — EVP, Chief Financial Officer
Period of report
Jan 12, 2015
Accepted (ET)
Jan 14, 2015 · 4:45 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000913077
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 12, 2015 | M | 4,200 | $10.29 | A | 58,562 | D | |
| Common Stock | Jan 12, 2015 | M | 6,000 | $8.29 | A | 64,562 | D | |
| Common StockF1 | Jan 12, 2015 | S | 10,200 | $10.77 | D | 54,362 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common StockF2 | $10.29 | Jan 12, 2015 | M | 4,200 | D | — | Jun 23, 2015 | Common Stock | 4,200 | 0 | D |
| Option to Purchase Common StockF3 | $8.29 | Jan 12, 2015 | M | 6,000 | D | — | Aug 20, 2016 | Common Stock | 6,000 | 0 | D |
Explanation of responses
- F1Sold pursuant to a 10b5-1 Trading Plan.
- F2Stock option became exercisable in equal annual installments over four years from the grant date of June 23, 2008.
- F3Stock option became exercisable in equal annual installments over four years from the grant date of August 20, 2009.