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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 Options (right to buy) | $ 40.05 | 07/01/2013 | M | 246,644 | 07/01/2013(4) | 01/16/2014 | Common Stock | 246,644 | $ 0 | 3,356 | D | ||||
Stock Options (right to buy) | $ 34.64 | 07/01/2013 | M | 77,631 | 07/01/2013(5) | 01/24/2015 | Common Stock | 77,631 | $ 0 | 16,369 | D | ||||
Stock Options (right to buy) | $ 19.93 | 07/02/2013 | M | 99,000 | 07/02/2013(6) | 01/26/2016 | Common Stock | 99,000 | $ 0 | 0 | D | ||||
Stock Options (right to buy) | $ 34.16 | 07/02/2013 | M | 36,728 | 07/02/2013(7) | 01/25/2017 | Common Stock | 36,728 | $ 0 | 6,272 | D | ||||
Stock Options (right to buy) | $ 34.03 | 07/02/2013 | M | 46,520 | 07/02/2013(8) | 01/24/2018 | Common Stock | 46,520 | $ 0 | 30,480 | D | ||||
Stock Options (right to buy) | $ 34.64 | 07/02/2013 | M | 16,369 | 07/02/2013(5) | 01/24/2015 | Common Stock | 16,369 | $ 0 | 0 | D | ||||
Stock Options (right to buy) | $ 40.05 | 07/02/2013 | M | 3,356 | 07/02/2013(4) | 01/16/2014 | Common Stock | 3,356 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
THOMPSON MATTHEW ADOBE SYSTEMS INCORPORATED 345 PARK AVENUE SAN JOSE, CA 95110 |
EVP WW Field Operations |
/s/ Justin Judd, as attorney-in-fact | 07/03/2013 | |
**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) | Includes 875 shares acquired on June 28, 2013 pursuant to Adobe's 1997 Employee Stock Purchase Plan, as amended. |
(2) | This transaction was executed in multiple trades at prices ranging from $46.22 to $46.95. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range. |
(3) | This transaction was executed in multiple trades at prices ranging from $46.0127 to $46.4. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range. |
(4) | Options granted January 16, 2007 are fully vested and exercisable. |
(5) | Options granted January 24, 2008 are fully vested and exercisable. |
(6) | Options granted January 26, 2009 are fully vested and exercisable. |
(7) | Stock options granted on January 25, 2010 vest at a rate of 2.08% per month for 48 months. |
(8) | Stock options granted on January 24, 2011 vest at a rate of 2.08% per month for 48 months. |