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: 13 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-05-02: 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.
- 2011-05-02: 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.
- 2011-05-02: Reporting owner Wadlington Mark; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-05-02: Reporting owner CESARATTO CESAR; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-05-02 | 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 18,437 owned after | $10.41 | 2011-05-04 | |
| 2011-05-02 | 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 18,437 owned after | $10.41 | 2011-05-04 | |
| 2011-05-02 | Wadlington Mark Officer (VP Worldwide Sales) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +210,000 210,000 owned after | $10.10 exercise price | 2011-05-03 | |
| 2011-05-02 | 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 | $10.10 exercise price | 2011-05-03 | |
| 2011-05-02 | 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 | $10.10 exercise price | 2011-05-03 | |
| 2011-05-02 | 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 | $10.10 exercise price | 2011-05-03 | |
| 2011-05-02 | 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 | $10.10 exercise price | 2011-05-03 | |
| 2011-05-02 | 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 | $10.10 exercise price | 2011-05-03 | |
| 2011-05-02 | 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 | $10.10 exercise price | 2011-05-03 | |
| 2011-05-02 | 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 | $10.10 exercise price | 2011-05-03 | |
| 2011-02-01 | 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 | −300 12,137 owned after | $10.02 | 2011-02-02 | |
| 2011-02-01 | 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 | −2,300 9,837 owned after | $10.01 | 2011-02-02 | |
| 2011-02-01 | 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 | −400 9,437 owned after | $10.00 | 2011-02-02 |