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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) | $ 15.88 | 02/11/2014 | M | 350,000 | (5) | 02/26/2015 | Common Stock | 350,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GECHT GUY 6750 DUMBARTON CIRCLE FREMONT, CA 94555 |
X | Chief Executive Officer |
/s/ Guy Gecht | 02/12/2014 | |
**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) | These shares of common stock were issued upon exercise of stock options granted to the reporting person in February 2008. The exercise of these stock options was effected pursuant to a Rule 10b5-1 plan entered by the reporting person on November 11, 2013 with an effective start date of February 11, 2014 pursuant to which options are to be exercised in certain tranches in the event that the closing price of Electronics for Imaging, Inc. common stock exceeds $33.88, $37.88 and $40.88. |
(2) | Corresponds to the exercise price of the stock options. |
(3) | Shares of common stock withheld by the issuer in payment by the reporting person of the exercise price. This transaction is exempt under Rule 16b-3(e). |
(4) | Shares of common stock withheld by the issuer for tax purposes upon the exercise of stock options by the reporting person. This transaction is exempt under Rule 16b-3(e). |
(5) | This stock option award and the associated instructions were included in the reporting person's Rule10b5-1 plan to address the option expiration on February 26, 2015. This stock option award was granted on February 26, 2008 and vested and became exercisable with respect to 33% of the award on the first anniversary of the date of grant and thereafter with respect to an additional 2.23% of the award each month, with full vesting in 42 months. |