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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 | ||||||||
Non-Qualified Stock Option (right to buy) | $ 37.98 | 07/22/2010 | A | 19,775 | (1) | 07/21/2017 | Common Stock | 19,775 | $ 0 | 19,775 | D | ||||
Restricted Stock Unit | (2) | 07/22/2010 | A | 5,340 | (3) | 07/01/2013 | Common Stock | 5,340 | $ 0 | 5,340 | D | ||||
Restricted Stock Unit (performance-based vesting) | (2) | 07/22/2010 | A | 12,585 (4) | 09/01/2013 | 09/01/2013 | Common Stock | 12,585 | $ 0 | 12,585 | D | ||||
Restricted Stock Unit (performance-based vesting) | (2) | 07/22/2010 | A | 12,585 (5) | 09/01/2013 | 09/01/2013 | Common Stock | 12,585 | $ 0 | 12,585 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Goodarzi Sasan K C/O INTUIT INC. 2700 COAST AVENUE MOUNTAIN VIEW, CA 94043 |
SVP, Intuit Financial Services |
/s/ Christina Hall, under a Confirming Statement | 07/26/2010 | |
**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) | One third of the options vest on the first anniversary of the grant date; thereafter, 2.778% of the options vest on the monthly anniversary of the grant date such that the options are fully vested on the third anniversary of the grant date. |
(2) | 1-for-1 |
(3) | These restricted stock units will vest as to one third of the shares on each of July 1, 2011, July 1, 2012 and July 1, 2013, provided the issuer achieves a pre-established minimum operating goal. |
(4) | The target number of units subject to the award is presented in the table. The units are scheduled to vest following the third anniversary of the grant date if the Company meets certain pre-established 3-year operating goals. The number of units that vest may be 0% to 160% of the target number of units, depending upon performance. The maximum number of units that may vest is 20,140 (160% of the target number). Vested restricted stock units will be paid in an equal number of shares of Intuit Inc. common stock. |
(5) | The target number of units subject to the award is presented in the table. The units are scheduled to vest following the third anniversary of the grant date if the Company meets certain total shareholder return objectives compared to a peer group. The number of units that vest may be 0% to 160% of the target number of units, depending upon performance. The maximum number of units that may vest is 20,140 (160% of the target number). Vested restricted stock units will be paid in an equal number of shares of Intuit Inc. common stock. |