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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) | $ 1.5 | 02/09/2011 | M | 631 | (1) | 09/20/2017 | Common Stock | 631 | $ 0 | 362 | D | ||||
Stock Option (Right to buy) | $ 1.5 | 02/09/2011 | M | 5,507 | (1) | 11/12/2019 | Common Stock | 5,507 | $ 0 | 3,148 | D | ||||
Stock Option (Right to buy) | $ 1.5 | 02/09/2011 | M | 15,222 | (2) | 11/12/2019 | Common Stock | 15,222 | $ 0 | 27,758 | D | ||||
Stock Option (Right to buy) | $ 1.5 | 02/09/2011 | M | 375 | (3) | 11/12/2019 | Common Stock | 375 | $ 0 | 1,449 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Martin Bruce K C/O COMPLETE GENOMICS INC 2071 STIERLIN COURT MOUNTAIN VIEW, CA 94043-4655 |
SVP of Product Development |
/s/ Maureen Monahan Attorney in Fact for Bruce K Martin | 03/01/2011 | |
**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 shares vest pursuant to the following schedule: Twenty-five percent (25%) of the shares subject to the option vest one year measured from May 17,2007 (the "Vesting Commencement Date") and the remaining shares subject to the option vest in 36 successive, equal monthly installments thereafter on each monthly anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. |
(2) | The shares vest pursuant to the following schedule: Twenty-five percent (25%) of the shares subject to the option vest one year measured from August 12,2009 (the "Vesting Commencement Date") and the remaining shares subject to the option vest in 36 successive, equal monthly installments thereafter on each monthly anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. |
(3) | The shares vest pursuant to the following schedule: The shares subject to the option vest in 48 successive, equal monthly installments measured from April 1, 2009, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. |