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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 | ||||||||
Employee Stock Option (Right to Buy) | $ 22.68 | (3) | 05/23/2016 | Common Stock | 100,000 | 100,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 29.23 | (4) | 01/12/2017 | Common Stock | 100,000 | 100,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 28.79 | (5) | 01/11/2018 | Common Stock | 100,000 | 100,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 11.41 | (6) | 01/16/2019 | Common Stock | 90,000 | 90,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 21.1 | (8) | 02/02/2020 | Common Stock | 100,000 | 100,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 20.8 | (9) | 06/13/2020 | Common Stock | 40,000 | 40,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 35.32 | (10) | 02/03/2021 | Common Stock | 100,000 | 100,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 33.15 | (11) | 04/26/2021 | Common Stock | 40,000 | 40,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 31.31 | (12) | 06/06/2022 | Common Stock | 100,000 | 100,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 32.54 | (13) | 05/16/2023 | Common Stock | 108,510 | 108,510 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LO PATRICK CS NETGEAR, INC. 350 E. PLUMERIA DR. SAN JOSE, CA 95134 |
X | Chairman and CEO |
/s/ Andrew W. Kim, Attorney in Fact | 05/20/2014 | |
**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) | The shares are held by the Patrick and Emily Lo Revocable Trust dated 4-7-99. |
(2) | The shares are held by the education trusts of Mr. Lo's children. Mr. Lo is a co-trustee of each such trust. |
(3) | 25% of the option grant is exercisable on 5/23/2007, and 1/48 of the option grant is exercisable each month thereafter. |
(4) | 25% of the option grant is exercisable on 1/12/2008, and 1/48 of the option grant is exercisable each month thereafter. |
(5) | 25% of the option grant is exercisable on 1/11/2009, and 1/48 of the option grant is exercisable each month thereafter. |
(6) | 25% of the option grant is exercisable on 1/16/2010, and 1/48 of the option grant is exercisable each month thereafter. |
(7) | The shares are held by the Patrick C.S. Lo 2009 Grantor Retained Annuity Trust. |
(8) | 25% of the option grant is exercisable on 2/2/2011, and 1/48 of the option grant is exercisable each month thereafter. |
(9) | 25% of the shares subject to the option shall vest twelve months on 6/13/2011, and 1/48th of the shares subject to the option shall vest each month thereafter, subject to the optionee continuing to be a service provider on such dates. |
(10) | 25% of the option grant is exercisable on 2/3/2012, and 1/48 of the option grant is exercisable each month thereafter. |
(11) | 25% of the option grant is exercisable on 4/26/2012, and 1/48 of the option grant is exercisable each month thereafter. |
(12) | 25% of the option grant is exercisable on 6/6/2013, and 1/48 of the option grant is exercisable each month thereafter. |
(13) | 25% of the option grant is exercisable on 5/16/2014, and 1/48 of the option grant is exercisable each month thereafter. |
(14) | Includes 842 shares acquired on February 14, 2014 under the NETGEAR, Inc. Employee Stock Purchase Plan. |