UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | Â (1) | 08/16/2015 | Common Stock | 1,000 | $ 82 | D | Â |
Stock Option (right to buy) | Â (2) | 05/01/2008 | Common Stock | 6,000 | $ 120.83 | D | Â |
Stock Option (right to buy) | Â (3) | 09/17/2018 | Common Stock | 6,000 | $ 32.14 | D | Â |
Restricted Share Unit | Â (4) | Â (4) | Common Stock | 1,350 | $ (5) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lawande Sachin 400 ATLANTIC STREET SUITE 1500 STAMFORD, CT 06901 |
 |  |  Chief Technology Officer |  |
/s/ Cherie Curry as attorney in fact for Sachin Lawande | 01/22/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 option vests in five equal annual increments starting on August 16, 2006. |
(2) | The option vests in five equal annual increments starting on May 1, 2008. |
(3) | The option vests in three equal annual increments starting on September 17, 2009. |
(4) | Restricted share units vest fully on September 17, 2011, 3 years from the date of grant. |
(5) | Each restricted share unit represents a contingent right to receive one share of Harman's common stock. |