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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) | $ 36.56 | 11/09/2017 | A | 30,000 | (4) | 11/08/2024 | Common Stock | 30,000 | $ 0 | 30,000 | D | ||||
Stock Option (Right to Buy) | $ 34.46 | 11/09/2017 | A | 10,000 | 11/09/2017(5) | 04/22/2022 | Common Stock | 10,000 | $ 0 | 10,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rajgarhia Vivek C/O MACOM TECHNOLOGY SOLUTIONS HOLDINGS 100 CHELMSFORD ST LOWELL, MA 01851 |
SVP & GM, Lightwave |
/s/ Clay Simpson, Attorney-in-Fact | 11/14/2017 | |
**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) | Represents restricted stock units granted to the Reporting Person under the Issuer's 2012 Omnibus Incentive Plan. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock. The restricted stock units vest in four equal annual installments on May 15, 2019, May 15, 2020, May 15, 2021 and May 15, 2022, provided that the Reporting Person remains in continuous service with the Issuer through each vesting date. |
(2) | Represents restricted stock units granted to the Reporting Person under the Issuer's 2012 Omnibus Incentive Plan. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock. The restricted stock units vest in three equal annual installments on May 15, 2018, May 15, 2019 and May 15, 2020, provided that the Reporting Person remains in continuous service with the Issuer through each vesting date. |
(3) | Represents restricted stock units granted to the Reporting Person under the Issuer's 2012 Omnibus Incentive Plan. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock. The restricted stock units vest in two equal annual installments on May 15, 2021 and May 15, 2022, provided that the Reporting Person remains in continuous service with the Issuer through each vesting date. |
(4) | The stock option vests in full upon achievement of a 30-day trailing average stock price based performance metric during the term of the stock option. |
(5) | On April 22, 2015 the Reporting Person was granted an option to purchase 10,000 shares of Common Stock. The stock option vests upon achievement of certain performance metrics in any four consecutive fiscal quarters completed during the term of the stock option. On November 9, 2017 certain performance criteria were certified to have been met, resulting in vesting of the stock option in full. |