SEC Form 4 · accession 0001140361-15-023422
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
Jun 4, 2015
Accepted (ET)
Jun 5, 2015 · 7:00 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 | Jun 4, 2015 | M | 75,000 | $6.71 | A | 534,847 | D | |
| Common StockF1,F2 | Jun 4, 2015 | S | 75,000 | $11.78 | D | 459,847 | 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 | $6.71 | Jun 4, 2015 | M | 75,000 | D | — | Jul 21, 2018 | Common Stock | 75,000 | 225,000 | D |
Explanation of responses
- F1Sold pursuant to a 10b5-1 Trading Plan.
- F2These sales were executed in multiple trades at prices ranging from $11.58 to $11.99. The price reported above reflects the weighted average sales price. The reporting person hereby undetrakes 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 trnasactions were effected.
- F3Stock option became exercisable in equal annual installments over four years from the grant date of July 21, 2011.