Statement of Changes in Beneficial Ownership (4)
February 13 2014 - 6:40PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Witney Frank
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2. Issuer Name
and
Ticker or Trading Symbol
AFFYMETRIX INC
[
AFFX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President and CEO
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(Last)
(First)
(Middle)
C/O AFFYMETRIX, INC., 3420 CENTRAL EXPRESSWAY
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/11/2014
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(Street)
SANTA CLARA, CA 95051
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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2/11/2014
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A
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42000
(1)
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A
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$0
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317747
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D
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Common Stock
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2/11/2014
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A
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70000
(2)
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A
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$0
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387747
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D
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Common Stock
(3)
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2/13/2014
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A
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33000
(4)
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A
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$0
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420747
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Option to Purchase Common Stock
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$7.55
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2/13/2014
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A
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60000
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(5)
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2/13/2021
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Common Stock
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60000
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$0
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60000
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D
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Explanation of Responses:
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(
1)
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On February 11, 2014, this number of perfomance-based restricted stock units was determined to be earned with respect to the performance period ending December 31, 2013. These earned restricted stock units will vest on December 31, 2014.
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(
2)
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On February 11, 2014, this number of perfomance-based restricted stock units was determined to be earned with respect to the performance period ending December 31, 2013. These earned restricted stock units will vest over four years starting February 25, 2014.
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(
3)
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This Form 4 does not include 65,000 performance-based restricted stock units granted on February 13, 2014. These shares will be reported on subsequent Form 4s if and when the performance criteria are met.
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(
4)
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Restricted stock units vest in equal annual installments over four years from the grant date of February 13, 2014.
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(
5)
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Stock option becomes exercisable in equal annual installments over four years from the grant date of February 13, 2014.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Witney Frank
C/O AFFYMETRIX, INC.
3420 CENTRAL EXPRESSWAY
SANTA CLARA, CA 95051
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X
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President and CEO
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Signatures
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Siang H. Chin, Attorney-in-Fact for Frank Witney
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2/13/2014
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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