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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 | ||||||||
| Stock Option (right to buy) | $ 16.86 (1) | 05/05/2010 | M | 534 (1) | 02/23/2007 | 02/22/2016 | Common Stock (1) | 534 (1) | $ 0 | 0 | D | ||||
| Stock Option (right to buy) | $ 15.145 (3) | 05/05/2010 | M | 7,288 (3) | 06/05/2008 | 06/04/2017 | Common Stock (3) | 26,722 (3) | $ 0 | 19,434 | D | ||||
| Stock Option (right to buy) | $ 9.915 (4) | 05/05/2010 | M | 796 (4) | 10/31/2007 | 10/30/2016 | Common Stock (4) | 2,390 (4) | $ 0 | 1,594 | D | ||||
| Stock Option (right to buy) | $ 11.97 (5) | 05/05/2010 | M | 1,822 (5) | 01/30/2008 | 01/29/2017 | Common Stock (5) | 7,900 (5) | $ 0 | 6,078 | D | ||||
| Stock Option (right to buy) | $ 11.7 (6) | 05/05/2010 | M | 796 (6) | 08/01/2007 | 07/31/2016 | Common Stock (6) | 2,124 (6) | $ 0 | 1,328 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Cortes Roland Benjamin 1875 CHARLESTON RD. MOUNTAIN VIEW, CA 94043 |
VP, General Counsel | |||
| /s/ Roland B. Cortes | 05/07/2010 | |
| **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) | On February 16, 2010, NetLogic Microsystems Inc. declared a stock dividend, payable to all holders of record of common stock on March 5, 2010, of one share of common stock for each share of common stock outstanding. As a result, and pursuant to anti-dilution provisions of NetLogic Microsystems' equity incentive plans, this option which was previously reported as an option for 267 shares of common stock at an exercise price of $33.72 per share, was adjusted to 534 shares of common stock at an exercise price of $16.86 per share. |
| (2) | On February 16, 2010, NetLogic Microsystems Inc. declared a stock dividend, payable to all holders of record of common stock on March 5, 2010, of one share of common stock for each share of common stock outstanding. As a result, the reporting person received 4,426 shares of common stock on March 19, 2010. At the same time, pursuant to anti-dilution provisions of NetLogic Microsystems' equity incentive plans, options for 34,190 shares of common stock held by the reporting person on March 19, 2010 became exercisable for 68,380 shares of common stock, and awards of restricted stock units for 14,356 shares of common stock held by the reporting person on March 19, 2010 became exercisable for 28,712 shares of common stock. |
| (3) | On February 16, 2010, NetLogic Microsystems Inc. declared a stock dividend, payable to all holders of record of common stock on March 5, 2010, of one share of common stock for each share of common stock outstanding. As a result, and pursuant to anti-dilution provisions of NetLogic Microsystems' equity incentive plans, this option which was previously reported as an option for 13,361 shares of common stock at an exercise price of $30.29 per share, was adjusted to 26,722 shares of common stock at an exercise price of $15.145 per share. |
| (4) | On February 16, 2010, NetLogic Microsystems Inc. declared a stock dividend, payable to all holders of record of common stock on March 5, 2010, of one share of common stock for each share of common stock outstanding. As a result, and pursuant to anti-dilution provisions of NetLogic Microsystems' equity incentive plans, this option which was previously reported as an option for 1,195 shares of common stock at an exercise price of $19.83 per share, was adjusted to 2,390 shares of common stock at an exercise price of $9.915 per share. |
| (5) | On February 16, 2010, NetLogic Microsystems Inc. declared a stock dividend, payable to all holders of record of common stock on March 5, 2010, of one share of common stock for each share of common stock outstanding. As a result, and pursuant to anti-dilution provisions of NetLogic Microsystems' equity incentive plans, this option which was previously reported as an option for 3,950 shares of common stock at an exercise price of $23.94 per share, was adjusted to 7,900 shares of common stock at an exercise price of $11.97 per share. |
| (6) | On February 16, 2010, NetLogic Microsystems Inc. declared a stock dividend, payable to all holders of record of common stock on March 5, 2010, of one share of common stock for each share of common stock outstanding. As a result, and pursuant to anti-dilution provisions of NetLogic Microsystems' equity incentive plans, this option which was previously reported as an option for 1,062 shares of common stock at an exercise price of $23.40 per share, was adjusted to 2,124 shares of common stock at an exercise price of $11.70 per share. |
| (7) | This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 30, 2009. |
| (8) | The shares sold on this date were sold in multiple transactions. This price is the weighted average sales price per share of all shares sold on this date; the actual sale prices per share range from $28.34 to $29.33. The number of shares sold at each separate price will be provided upon request by the Securities and Exchange Commission, NetLogic Microsystems, or a security holder of NetLogic Microsystems. |
| (9) | The shares sold on this date were sold in multiple transactions. This price is the weighted average sales price per share of all shares sold on this date; the actual sale prices per share range from $29.34 to $29.70. The number of shares sold at each separate price will be provided upon request by the Securities and Exchange Commission, NetLogic Microsystems, or a security holder of NetLogic Microsystems. |