SEC Form 4 · accession 0001140361-15-008061
AFFYMETRIX INC · AFFX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Witney
Officer — President and CEO · Director
Period of report
Feb 18, 2015
Accepted (ET)
Feb 19, 2015 · 7:22 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 StockF1 | Feb 18, 2015 | A | 27,000 | $0.00 | A | 439,322 | D | |
| Common StockF2,F3 | Feb 19, 2015 | A | 31,800 | $0.00 | A | 471,122 | 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 StockF4 | $11.88 | Feb 19, 2015 | A | 58,400 | A | — | Feb 19, 2022 | Common Stock | 58,400 | 58,400 | D |
Explanation of responses
- F1On February 18, 2015, this number of perfomance-based restricted stock units was determined to be earned with respect to the performance period ending December 31, 2014. These earned restricted stock units will vest on December 31, 2015.
- F2This Form 4 does not include 63,600 performance-based restricted stock units granted on February 19, 2015. These shares will be reported on subsequent Form 4s if and when the performance criteria are met.
- F3Restricted stock units vest in equal annual installments over four years from the grant date of February 19, 2015.
- F4Stock option becomes exercisable in equal annual installments over four years from the grant date of February 19, 2015.