APPLIED MICRO CIRCUITS CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 20 rows in 2010. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-11-01: Reporting owner Natarajan Shiva Kumar; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2010-08-24: Reporting owner BERARDI HECTOR; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2010-08-02: Reporting owner Caraccio L. William; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2010-07-30: Reporting owner Natarajan Shiva Kumar; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-11-01 | Natarajan Shiva Kumar Officer (VP Corporate Controller) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 12,437 owned after | $10.04 | 2010-11-02 | |
| 2010-08-24 | BERARDI HECTOR Officer (VP Operations) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,292 41,927 owned after | $11.35 | 2010-08-24 | |
| 2010-08-02 | Caraccio L. William Officer (VP General Counsel) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +120,000 120,000 owned after | $12.25 exercise price | 2010-08-06 | |
| 2010-07-30 | Natarajan Shiva Kumar Officer (VP Corporate Controller) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 16,937 owned after | $10.96 | 2010-08-02 | |
| 2010-07-30 | Natarajan Shiva Kumar Officer (VP Corporate Controller) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 15,437 owned after | $12.00 | 2010-08-02 | |
| 2010-05-27 | BERARDI HECTOR Officer (VP Operations) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −38,281 49,219 owned after | $11.50 | 2010-05-28 | |
| 2010-05-03 | Major Michael Officer (VP Human Resources) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,600 27,600 owned after | $11.86 exercise price | 2010-05-04 | |
| 2010-05-03 | BERARDI HECTOR Officer (VP Operations) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $11.86 exercise price | 2010-05-04 | |
| 2010-05-03 | GARGUS ROBERT Officer (Sr VP & CFO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +58,800 58,800 owned after | $11.86 exercise price | 2010-05-04 | |
| 2010-05-03 | Gopi Paramesh Officer (President & CEO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +120,000 120,000 owned after | $11.86 exercise price | 2010-05-04 | |
| 2010-05-03 | Natarajan Shiva Kumar Officer (VP Corporate Controller) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,063 31,937 owned after | $11.47 | 2010-05-04 | |
| 2010-05-03 | Natarajan Shiva Kumar Officer (VP Corporate Controller) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,600 15,600 owned after | $11.86 exercise price | 2010-05-04 | |
| 2010-05-03 | Sullivan Julie Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,250 6,250 owned after | $11.86 exercise price | 2010-05-04 | |
| 2010-05-03 | STABENOW ARTHUR B Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,250 6,250 owned after | $11.86 exercise price | 2010-05-04 | |
| 2010-05-03 | SHLAPAK FRED THEODORE A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,250 6,250 owned after | $11.86 exercise price | 2010-05-04 | |
| 2010-05-03 | GRAY PAUL R Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,250 6,250 owned after | $11.86 exercise price | 2010-05-04 | |
| 2010-05-03 | COLVIN DONALD A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,250 6,250 owned after | $11.86 exercise price | 2010-05-04 | |
| 2010-05-03 | CESARATTO CESAR Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $11.86 exercise price | 2010-05-04 | |
| 2010-05-03 | CESARATTO CESAR Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,250 8,750 owned after | $11.86 exercise price | 2010-05-04 | |
| 2010-04-30 | Natarajan Shiva Kumar Officer (VP Corporate Controller) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,000 46,000 owned after | $12.01 | 2010-05-04 |