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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 | ||||||||
Non-Qualified Stock Option (right to buy) | $ 31.84 | 08/23/2005 | M | 4,275 | (1) | 04/25/2012 | Common Stock | 4,275 | $ 82.5499 | 12,875 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 31.84 | 08/23/2005 | M | 3,800 | (1) | 04/25/2012 | Common Stock | 3,800 | $ 82.08 | 9,075 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 31.84 | 08/23/2005 | M | 1,285 | (1) | 04/25/2012 | Common Stock | 1,285 | $ 82.05 | 7,790 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 34.51 | 08/23/2005 | M | 3,125 | (2) | 09/06/2012 | Common Stock | 3,125 | $ 82.5499 | 15,625 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 56.875 | 08/23/2005 | M | 33,440 | (3) | 10/11/2010 | Common Stock | 33,440 | $ 82 | 66,560 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 56.875 | 08/23/2005 | M | 1,800 | (3) | 10/11/2010 | Common Stock | 1,800 | $ 81.99 | 64,760 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 56.875 | 08/23/2005 | M | 4,200 | (3) | 10/11/2010 | Common Stock | 4,200 | $ 81.98 | 60,560 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 56.875 | 08/23/2005 | M | 7,700 | (3) | 10/11/2010 | Common Stock | 7,700 | $ 81.97 | 52,860 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 56.875 | 08/23/2005 | M | 6,700 | (3) | 10/11/2010 | Common Stock | 6,700 | $ 81.95 | 46,160 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 56.875 | 08/23/2005 | M | 1,000 | (3) | 10/11/2010 | Common Stock | 1,000 | $ 81.93 | 45,160 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 56.875 | 08/23/2005 | M | 10,200 | 10/11/2005(3) | 10/11/2010 | Common Stock | 10,200 | $ 81.92 | 34,960 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 56.875 | 08/23/2005 | M | 5,476 | 10/11/2005(3) | 10/11/2010 | Common Stock | 5,476 | $ 81.91 | 29,484 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 56.875 | 08/23/2005 | M | 400 | 10/11/2005(3) | 10/11/2010 | Common Stock | 400 | $ 81.89 | 29,084 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 56.875 | 08/23/2005 | M | 9,300 | 10/11/2005(3) | 10/11/2010 | Common Stock | 9,300 | $ 81.88 | 19,784 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 56.875 | 08/23/2005 | M | 5,000 | 10/11/2005(3) | 10/11/2010 | Common Stock | 5,000 | $ 81.86 | 14,784 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 56.875 | 08/23/2005 | M | 2,500 | 10/11/2005(3) | 10/11/2010 | Common Stock | 2,500 | $ 81.85 | 12,284 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 56.875 | 08/23/2005 | M | 4,700 | 10/11/2005(3) | 10/11/2010 | Common Stock | 4,700 | $ 81.82 | 7,584 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 56.875 | 08/23/2005 | M | 1,500 | 10/11/2005(3) | 10/11/2010 | Common Stock | 1,500 | $ 81.82 | 6,084 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 56.875 | 08/23/2005 | M | 2,750 | 10/11/2005(3) | 10/11/2010 | Common Stock | 2,750 | $ 81.8 | 3,334 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 61.05 | 08/23/2005 | M | 8,215 | (4) | 10/15/2013 | Common Stock | 8,215 | $ 82.05 | 40,147 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 61.05 | 08/23/2005 | M | 3,500 | (4) | 10/15/2013 | Common Stock | 3,500 | $ 82.02 | 36,647 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 61.05 | 08/23/2005 | M | 10,160 | (4) | 10/15/2013 | Common Stock | 10,160 | $ 82 | 26,487 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 65.38 | 08/23/2005 | M | 1,250 | (5) | 05/14/2014 | Common Stock | 1,250 | $ 81.8 | 12,221 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 65.38 | 08/23/2005 | M | 2,500 | 05/14/2005(5) | 05/14/2014 | Common Stock | 2,500 | $ 81.78 | 9,721 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FAULKNER DARYL 1600 FARADAY AVENUE CARLSBAD, CA 92008 |
Sr. VP |
By: John A. Cottingham For: Daryl J. Faulkner | 08/25/2005 | |
**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) | Option vests over a 4-year period, 25% vesting on April 25, 2003, and 75% vesting quarterly thereafter through April 25, 2006, contingent upon continued service to Invitrogen. |
(2) | Option vests over a 4-year period, 25% vesting on September 6, 2003, and 75% vesting quarterly thereafter through September 6, 2006, contingent upon continued service to Invitrogen. |
(3) | Option vesting is over a 5-year period, 40% vesting on October 11, 2002, and 60% vesting monthly thereafter through October 11, 2005, contingent upon continued service to Invitrogen. |
(4) | Option vests over a 4-year period, 25% vesting on October 15, 2004, and 75% vesting quarterly thereafter through October 15, 2007, contingent upon continued service to Invitrogen. |
(5) | Option vesting is over a 4-year period, vesting 25% on each anniversary of the May 14, 2004 grant date, contingent upon continued service to Invitrogen. |