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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) | $ 17.555 (3) | 11/05/2010 | M | 5,000 (3) | 02/07/2016 | 02/06/2016 | Common Stock | 11,094 (3) | $ 0 | 6,094 (3) | D | ||||
Stock Option (right to buy) | $ 11.97 (1) | 11/04/2010 | M | 7,292 (1) | 01/30/2008 | 01/29/2017 | Common Stock | 9,722 (1) | $ 0 | 2,430 (1) | D | ||||
Stock Option (right to buy) | $ 11.7 (2) | 11/04/2010 | M | 2,250 (2) | 08/01/2007 | 07/31/2016 | Common Stock | 2,250 (2) | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Maghsoudnia Mozafar 1875 CHARLESTON ROAD MOUNTAIN VIEW, CA 94043 |
Vice President, Manufacturing |
/s/ Roland B. Cortes, by power of attorney | 11/05/2010 | |
**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 4,861 shares of common stock at an exercise price of $23.94 per share, was adjusted to 9,722 shares of common stock at an exercise price of $11.97 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, and pursuant to anti-dilution provisions of NetLogic Microsystems' equity incentive plans, this option which was previously reported as an option for 1,125 shares of common stock at an exercise price of $23.40 per share, was adjusted to 2,250 shares of common stock at an exercise price of $11.70 per share. |
(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 5,547 shares of common stock at an exercise price of $35.11 per share, was adjusted to 11,094 shares of common stock at an exercise price of $17.555 per share. |
(4) | This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 30, 2010. |
(5) | Restricted Stock Unit (RSU) award granted on November 5, 2010. Each RSU represents a contingent right to receive one share of the company's common stock once vested. The entire award vests on November 15, 2013, subject in all instances to the reporting person's continuous employment or consulting status with the company. |