SEC Form 4 · accession 0001140361-16-059865

AFFYMETRIX INC · AFFX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP, Chief Operating Officer

Period of report

Mar 31, 2016

Accepted (ET)

Apr 1, 2016 · 5:37 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^F1	Mar 31, 2016	D	223,548	—	D	0	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Stock Option (right to buy)^F1	$4.22	Mar 31, 2016	D	50,000	D	—	—	Common Stock	50,000	D
Stock Option (right to buy)^F1	$5.31	Mar 31, 2016	D	51,000	D	—	—	Common Stock	51,000	D
Stock Option (right to buy)^F1	$4.85	Mar 31, 2016	D	60,000	D	—	—	Common Stock	60,000	D
Stock Option (right to buy)^F1	$3.84	Mar 31, 2016	D	50,000	D	—	—	Common Stock	50,000	D
Stock Option (right to buy)^F1	$7.55	Mar 31, 2016	D	35,000	D	—	—	Common Stock	35,000	D
Stock Option (right to buy)^F1	$11.88	Mar 31, 2016	D	31,300	D	—	—	Common Stock	31,300	D
Performance RSUs^F1	$0.00	Mar 31, 2016	D	35,817	D	—	—	Common Stock	35,817	D

F1Pursuant to the Agreement and Plan of Merger dated as of January 8, 2016 by and among Affymetrix, Inc. ("Affymetrix"), Thermo Fisher Scientific Inc. ("Thermo Fisher") and White Birch Merger Co. (the "Merger Agreement"), (x) each outstanding share of common stock of Affymetrix was cancelled and converted into the right to receive $14.00 in cash; (y) each vested stock option was cancelled and converted into the right to receive a cash payment per share equal to the excess, if any, of $14.00 over the exercise price; and (z) each unvested stock option and RSU (including PRSUs at target), whether vested or unvested, was assumed by Thermo Fisher and converted into the right to receive a cash payment per share equal to the excess, if any, of $14.00 over the exercise price, as applicable.