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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 (3) | 02/02/2009 | M | 1,500 | 02/02/2009 | (5) | Common Stock | 1,500 | $ 0 | 0 (6) | D | ||||
Employee Stock Option (right to buy) | $ 8.55 | 02/02/2009 | A | 25,367 | 08/02/2009(7) | 02/02/2019 | Common Stock | 25,367 | $ 0 | 25,367 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Schroeder Michael C 4440 EL CAMINO REAL LOS ALTOS, CA 94022 |
VP, Human Resources |
/s/Michael Leshkiw, by power of attorney | 02/04/2009 | |
**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) | Includes 4,500 shares represented by restricted stock units ("RSUs"). These 4,500 RSUs reflect the balance of securities beneficially owned following the reported transaction in Table II, row 1 of this report on Form 4. The 4,500 RSUs vest in three equal annual installments beginning on February 1, 2010 or the first trading day after February 1. The initial RSU award was reported in Table II of Form 4 filed with the SEC on February 5, 2008. |
(2) | Includes 18,000 RSUs previously reported in Table II of the Form 4 filed with the SEC on September 2, 2008. The 18,000 RSUs vest in four equal annual installments beginning on August 28, 2009. |
(3) | Each RSU represents a contingent right to receive one share of Common Stock of Rambus Inc. |
(4) | Shares are represented by RSUs. The RSUs vest in four equal annual installments beginning on February 2, 2010 or the first trading day after February 2. |
(5) | Not applicable. |
(6) | The balance of unvested RSUs beneficially owned following the reported transaction is 4,500 RSUs and is now being reported in Table 1, row 1 of this report on Form 4. |
(7) | Ten percent of the shares subject to the option vest on August 2, 2009 and one fifty-fourth of the shares shall vest monthly thereafter. |