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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 | $ 0 (6) | 11/04/2011 | A | 1,500 | (7) | (7) | Bio-Rad B Common Stock | 1,500 | $ 0 | 1,500 | I | By Spouse (9) | |||
Non-Qualified Stock Option (right to buy) | $ 100.06 | 11/04/2011 | A | 5,000 | (8) | 11/04/2021 | Bio-Rad B Common Stock | 5,000 | $ 0 | 5,000 | I | By Spouse (9) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCHWARTZ ALICE N C/O BIO-RAD LABORATORIES, INC. 1000 ALFRED NOBEL DRIVE HERCULES, CA 94547 |
X | X |
Alice N. Schwartz | 11/07/2011 | |
**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) | On October 5, 2011, 339,377 Class A shares were transferred from the Alice N. Schwartz 2009 Grantor Retained Annuity Trust (GRAT) to Alice N.Schwartz, and such shares are directly beneficially owned by her. |
(2) | On October 5, 2011, 339,377 Class A shares were transferred from the David Schwartz 2009 Grantor Retained Annuity Trust (GRAT) to David Schwartz, and such shares are directly beneficially owned by him. Reporting person is the spouse of David Schwartz, Chairman of the Board of Bio-Rad Laboratories and beneficial owner of more than 10% of the Company's stock. |
(3) | In addition to the reported transaction, the reporting person and the reporting person's spouse each received 339,377 Class A shares as a distribution from their separate 2009 GRATs and such shares are directly beneficially owned by each of them. |
(4) | The shares are held by a limited partnership of which the reporting person is a limited and general partner. |
(5) | The shares are held by a limited partnership of which the reporting person is a general partner. |
(6) | Each restricted stock unit represents a contingent right to receive one share of Bio-Rad Class B Common Stock. |
(7) | The restricted stock units vest over five years at 20% per year on the yearly anniversary date of the grant. |
(8) | The stock option vests over five years at 20% per year on the yearly anniversary date of the grant. |
(9) | The reporting person is the spouse of David Schwartz, Chairman of the Board of Bio-Rad Laboratories and beneficial owner of more than 10% of the Company's Common Stock. |