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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MORGRIDGE JOHN P 170 WEST TASMAN DRIVE SAN JOSE, CA 95134 |
X |
/s/ John P. Morgridge, by Mark Chandler his attorney in fact | 09/12/2006 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 720,003 shares previously held directly by Mr. Morgridge that were transferred to the Morgridge Family Trust on January 26, 2006 and became owned indirectly. |
(2) | Morgridge Family Trust (MFT). |
(3) | On April 19, 2006, MFT transferred a total of 10,000,000 shares to Morgridge Family Investments LP (FILP), a limited partnership in which Mr. Morgridge and his spouse are the general partner and were then the limited partner, in each case solely in their capacity as trustee of MFT. Immediately following this transfer, MFT divided such limited partner interest in two equal amounts (each representing an interest in 4,950,000 of the 10,000,000 total shares held by FILP), and thereafter transferred such limited partner interests to Mr. Morgridge's and his spouse's respective grantor retained annuity trusts (GRATs). |
(4) | Excludes 10,000,000 shares previously held indirectly by MFT that were transferred to FILP on April 19, 2006. |
(5) | Represents the general partner interest in FILP, which interest of MFT is the property of Mr. Morgridge and his spouse. |
Remarks: This Form is solely reporting a series of gift transactions. |