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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Restricted Stock Units | Â | 11/16/2015 | Â | M | Â | 1,900 | Â (4) | Â (4) | Common Stock | $ 0 | 3,800 | Â | ||
Restricted Stock Units | Â | Â | Â | 3 | Â | Â | Â (5) | Â (5) | Common Stock | Â | 2,520 | Â | ||
Restricted Stock Units | Â | Â | Â | 3 | Â | Â | Â (6) | Â (6) | Common Stock | Â | 3,750 | Â | ||
Restricted Stock Units | Â | Â | Â | 3 | Â | Â | Â (7) | Â (7) | Common Stock | Â | 6,300 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BLACKWOOD-KAPRAL LISA C/O SHUTTERFLY, INC. 2800 BRIDGE PARKWAY REDWOOD CITY, CA 94065 |
 |  |  Chief Accounting Officer |  |
/s/ Ray Amanquah, as attorney-in-fact | 02/16/2016 | |
**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) | The Reporting Person owned 774 shares of the Issuer's common stock on August 20, 2015, the date on which the Reporting Person became the Chief Accounting Officer of the Issuer. |
(2) | Represents the number of shares of Issuer common stock underlying a restricted stock unit award granted to the Reporting Person on November 4, 2013 pursuant to the Issuer's 2006 Equity Incentive Plan (the "2006 Plan"). |
(3) | Represents the aggregate number of shares of Issuer common stock sold to cover taxes due upon vesting and settlement of the RSUs. |
(4) | Each of these RSUs represents a contingent right to receive one (1) share of Issuer common stock pursuant to the 2006 Plan. This award vests in 4 equal annual installments beginning November 4, 2013 and the first installment vested on November 4, 2014. |
(5) | Each of these RSUs represents a contingent right to receive one (1) share of Issuer common stock pursuant to the 2006 Plan. This award vests in 4 equal annual installments beginning February 13, 2014 and the first installment vested on February 13, 2015. |
(6) | Each of these RSUs represents a contingent right to receive one (1) share of Issuer common stock pursuant to the 2006 Plan. This award vests in 4 equal annual installments beginning August 15, 2014 and the first installment became vested on August 15, 2015. |
(7) | Each of these RSUs represents a contingent right to receive one (1) share of Issuer common stock pursuant to the 2006 Plan. This award vests in 4 equal annual installments beginning February 23, 2015. |