UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Shum Heung-Yeung C/O MICROSOFT CORPORATION ONE MICROSOFT WAY REDMOND, WA 98052-6399 |
 |  |  EVP, Technology & Research |  |
Keith R. Dolliver, Attorney-in-Fact for Heung-Yeung Shum | 11/15/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 an aggregate of 542,438 shares represented by stock awards that vest, subject to continued employment, as follows: 8,932 shares vest on 2/10/14; 40,345 shares vest on 2/28/14; 9,846 shares vest on 3/15/14; 37,425 shares vest on 8/28/14; 14,461 shares vest on 8/30/14; 59,461 shares vest on 8/31/14; 12,863 shares vest on 1/15/15; 45,397 shares vest on 2/28/15; 9,847 shares vest on 3/15/15; 37,426 shares vest on 8/28/15; 9,409 shares vest on 8/30/15; 41,598 shares vest on 8/31/15; 14,701 shares vest on 1/15/16; 37,425 shares vest on 2/28/16; 7,972 shares vest on 2/29/16; 37,425 shares vest on 8/28/16; 9,410 shares vest on 8/30/16; 10,932 shares vest on 8/31/16; 42,477 shares vest on 2/28/17; 37,426 shares vest on 8/28/17; 9,409 shares vest on 8/30/17; 3,894 shares vest on 8/31/17; and 4,357 shares vest on 8/30/18. |
(2) | As of October 31, 2013 |