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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 | ||||||||
Stock Option (Right to Buy) | $ 5.97 | 01/26/2007 | D | 20,000 | (3) | 09/06/2015 | Common Stock | 20,000 | (3) | 0 | D (2) | ||||
Stock Option (Right to Buy) | $ 9.06 | 01/26/2007 | D | 10,000 | (4) | 10/04/2016 | Common Stock | 10,000 | (4) | 0 | D (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Morfit G Mason 435 PACIFIC AVENUE 4TH FLOOR SAN FRANCISCO, CA 94133 |
X |
/s/ G. Mason Morfit | 01/30/2007 | |
**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) | These shares were surrendered pursuant to a merger agreement between Solexa, Inc. and Illumina, Inc. in exchange for 994 shares of Illumina, Inc. common stock. |
(2) | Under an agreement with ValueAct Capital Master Fund, L.P., G. Mason Morfit is deemed to hold the shares and options for the benefit of ValueAct Capital Master Fund, L.P. and indirectly for (i) VA Partners, L.L.C. as General Partner of ValueAct Capital Master Fund, L.P., (ii) ValueAct Capital Management, L.P. as the manager of ValueAct Capital Master Fund, L.P. and (iii) ValueAct Capital Management, LLC as General Partner of ValueAct Capital Management, L.P. G. Mason Morfit is a director of Solexa, Inc. and Non-Managing Member of VA Partners, L.L.C. and ValueAct Capital Management, LLC. Mr. Morfit disclaims beneficial ownership of the reported shares and options except to the extent of his pecuniary interest therein. |
(3) | This option, which provided for vesting monthly and ratably over the 12 month period beginning on September 6, 2005, was assumed by Illumina, Inc. in connection with the merger with Solexa, Inc. and replaced with an option to purchase 6,880 shares at an exercise price of $17.35. |
(4) | This option, which provided for vesting monthly and ratably over the 12 month period beginning on October 4, 2006, was assumed by Illumina, Inc. in connection with the merger with Solexa, Inc. and replaced with an option to purchase 3,440 shares at an exercise price of $26.34. |