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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 | ||||||||
Incentive Stock Option (right to buy) | $ 3.79 | 08/14/2008 | M | 24,155 | 10/07/2003(5) | 10/07/2009 | Common Stock | 24,155 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 3.79 | 08/12/2008 | M | 5,100 | 10/07/2003(5) | 10/07/2009 | Common Stock | 5,100 | $ 0 | 40,745 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 3.79 | 08/13/2008 | M | 31,400 | 10/07/2003(5) | 10/07/2009 | Common Stock | 31,400 | $ 0 | 9,345 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 3.79 | 08/14/2008 | M | 9,345 | 10/07/2003(5) | 10/07/2009 | Common Stock | 9,345 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GROUT SCOTT CHRISTOPHER 5445 NE DAWSON CREEK DRIVE HILLSBORO, OR 97124 |
X | PRESIDENT AND CEO |
By: Brian Bronson, Attorney-In-Fact For: Scott C. Grout | 08/14/2008 | |
**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 sales price reported is the weighted average sales price for the total shares sold. The range of actual sales prices includes 2,141 shares sold at $12.00, 260 shares sold at $12.01, 100 shares sold at $12.02, 2,499 shares sold at $12.05 and 100 shares sold at $12.06. |
(2) | The sales price reported is the weighted average sales price for the total shares sold. The range of actual sales prices includes 23,075 shares sold at $11.95, 200 shares sold at $11.955, 1,684 shares sold at $11.96, 2,242 shares sold at $11.97, 926 shares sold at $11.98, 169 shares sold at $11.99, 2,404 shares sold at $12.00, 400 shares sold at $12.01, 200 shares sold at $12.02 and 100 shares sold at $12.03. |
(3) | The sales price reported is the weighted average sales price for the total shares sold on August 14, 2008 which was 37,600 shares. The range of actual sales prices includes 12,705 shares sold at $11.90, 2,395 shares sold at $11.91, 5,791 shares sold at $11.92, 1,244 shares sold at $11.93, 9 shares sold at $11.94, 10,676 shares sold at $11.95, 100 shares sold at $11.955, 2,945 shares sold at $11.96, 1,130 shares sold at $11.97, 200 shares sold at $11.977, 200 shares sold at $11.99, 100 shares sold at $12.0075, 100 shares sold at $12.014 and 5 shares sold at $12.03. |
(4) | Represents acquisition of stock under the RadiSys Corporation Employee Stock Purchase Plan. |
(5) | ISO AND NQ grant on this date vest in conjunction with each other under the ISO 100,000 limit rule. Vesting schedule is one year from date of grant, option shall be exercisable for one-third of the total option shares and shall be exercisable in monthly increments equal to 1/36th of the total option shares, cumulatively, each month thereafter. |