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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) | $ 6.11 | 01/26/2007 | D | 82,250 | (1) | 06/03/2015 | Common Stock | 82,250 | $ 0 | 0 | D | ||||
Stock Option (Right to Buy) | $ 5.97 | 01/26/2007 | D | 17,188 | (2) | 09/06/2015 | Common Stock | 17,188 | $ 0 | 0 | D | ||||
Stock Option (Right to Buy) | $ 8.6 | 01/26/2007 | D | 59,375 | (3) | 02/02/2016 | Common Stock | 59,375 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rubinstein Linda M C/O SOLEXA, INC. 25861 INDUSTRIAL BLVD. HAYWARD, CA 94545 |
VP and CFO |
/s/ Linda M. Rubinstein, by Kathy San Roman, attorney-in-fact | 02/01/2007 | |
**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) | This option, which provided for vesting monthly and ratably over the 48 month period beginning on March 22, 2005, was assumed by Illumina, Inc. in connection with the merger with Solexa, Inc. and replaced with an option to purchase 28,294 shares at an exercise price of $17.76 per share. In connection with the closing of the merger on January 26, 2007, the vesting and exercisability of this option was accelerated by 2 years as provided in the employment agreement between the Issuer and the Reporting Person. |
(2) | This option, which provided for vesting monthly and ratably over the 48 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 5,913 shares at an exercise price of $17.35 per share. In connection with the closing of the merger on January 26, 2007, the vesting and exercisability of this option was accelerated by 2 years as provided in the employment agreement between the Issuer and the Reporting Person. |
(3) | This option, which provided for vesting monthly and ratably over the 48 month period beginning on February 2, 2006, was assumed by Illumina, Inc. in connection with the merger with Solexa, Inc. and replaced with an option to purchase 20,426 shares at an exercise price of $25.00 per share. In connection with the closing of the merger on January 26, 2007, the vesting and exercisability of this option was accelerated by 2 years as provided in the employment agreement between the Issuer and the Reporting Person. |