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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 | ||||||||
Restricted Stock Units | (3) | 01/12/2010 | M | 1,750 | (6) | (5) | Common Stock | 1,750 | (5) | 1,750 | D | ||||
Restricted Stock Units | (3) | 01/11/2010 | M | 750 | (7) | (5) | Common Stock | 750 | (5) | 1,500 | D | ||||
Employee Stock Option (Right to Buy) | $ 4.51 | (1) | 04/05/2010 | Common Stock | 6,473 | 59,233 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 6 | (2) | 10/30/2012 | Common Stock | 2,001 | 2,001 | D | ||||||||
Restricted Stock Units | (3) | 05/23/2009 | M | 2,000 | (4) | (5) | Common Stock | 2,000 | (5) | 2,000 | D | ||||
Restricted Stock Units | (3) | (8) | (5) | Common Stock | 3,000 | 3,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MERRILL MARK G NETGEAR, INC. 350 E. PLUMERIA DR. SAN JOSE, CA 95134 |
Chief Technology Officer |
/s/ Andrew W. Kim, Attorney in Fact | 01/13/2010 | |
**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) | This stock option was granted under the NETGEAR, Inc. 2000 Option Plan on December 9, 2000 and is fully vested and exercisable at this time. |
(2) | This stock option was granted under the NETGEAR, Inc. 2000 Option Plan on October 30, 2002 and is fully vested and exercisable at this time. |
(3) | Converts to common stock on a one for one basis. |
(4) | Stock units will be paid in an equal number of shares of the Issuer's common stock upon vesting of the units. 25% of the units will cliff vest on each anniversary of 5/23/06, the vest start date, so that all of the units will have vested on 5/23/2010. |
(5) | Not applicable. |
(6) | Stock units will be paid in an equal number of shares of the Issuer's common stock upon vesting of the units. 25% of the units will cliff vest on each anniversary of 1/12/2007, the vest start date, so that all of the units will have vested on 1/12/2011. |
(7) | Stock units will be paid in an equal number of shares of the Issuer's common stock upon vesting of the units. 25% of the units will cliff vest on each anniversary of 1/11/2008, the vest start date, so that all of the units will have vested on 1/11/2012. |
(8) | Stock units will be paid in an equal number of shares of the Issuer's common stock upon vesting of the units. 25% of the units will cliff vest on each anniversary of 1/16/2009, the vesting start date, so that all of the units will have vested on 1/16/2013. |
(9) | Acquired pursuant to the vesting of restricted stock units which convert to common stock on a one for one basis. |