SEC Form 4 · accession 0001140361-16-054445
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
Feb 18, 2016
Accepted (ET)
Feb 22, 2016 · 6:58 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,F2 | Feb 18, 2016 | A | 26,504 | $0.00 | A | 142,136 | D | |
| Common StockF3 | Feb 19, 2016 | F | 3,741 | $13.98 | D | 138,395 | D | |
| Common StockF4 | Feb 19, 2016 | F | 1,278 | $13.98 | D | 137,117 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 4 does not include 26,504 performance-based restricted stock units granted on February 18, 2016. These shares will be reported on subsequent Form 4s if and when the performance criteria are met.
- F2Restricted stock units vest in equal annual installments over four years from the grant date of February 18, 2016.
- F3Represents the number of shares withheld by Affymetrix, Inc. to cover the tax liability of resulting from the scheduled vesting of performance restricted stock units previously granted.
- F4Represents the number of shares withheld by Affymetrix, Inc. to cover the tax liability of resulting from the scheduled vesting of restricted stock units previously granted.