SEC Form 4 · accession 0001140361-15-013272
AFFYMETRIX INC · AFFX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew J. Last
Officer — EVP, Chief Operating Officer
Period of report
Mar 25, 2015
Accepted (ET)
Mar 26, 2015 · 6:53 pm EDT
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 | Mar 25, 2015 | M | 90,000 | $5.29 | A | 260,112 | D | |
| Common Stock | Mar 25, 2015 | M | 20,000 | $4.22 | A | 280,112 | D | |
| Common StockF1,F2 | Mar 25, 2015 | S | 110,000 | $12.79 | D | 170,112 | 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 StockF3 | $5.29 | Mar 25, 2015 | M | 90,000 | D | — | Dec 17, 2016 | Common Stock | 90,000 | 0 | D |
| Option to Purchase Common StockF4 | $4.22 | Mar 25, 2015 | M | 20,000 | D | — | Aug 19, 2017 | Common Stock | 20,000 | 50,000 | D |
Explanation of responses
- F1Sold pursuant to a 10b5-1 Trading Plan.
- F2These sales were executed in multiple trades at prices ranging from $12.685 to $12.99. The price reported above reflects the weighted average sales 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 transactions were effected.
- F3Stock option became exercisable in equal annual installments over four years from the grant date of December 17, 2009.
- F4Stock option became exercisable in equal annual installments over four years from the grant date of August 19, 2010.