- Statement of Changes in Beneficial Ownership (4)
November 03 2010 - 3:24PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Shulman Gail H
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2. Issuer Name
and
Ticker or Trading Symbol
MIPS TECHNOLOGIES INC
[
MIPS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
General Counsel
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(Last)
(First)
(Middle)
MIPS TECHNOLOGIES, INC., 955 EAST ARQUES AVENUE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/1/2010
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(Street)
SUNNYVALE, CA 94085
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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11/1/2010
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M
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13800
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A
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$8.01
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16066
(6)
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D
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Common Stock
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11/1/2010
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S
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13800
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D
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$14.4649
(1)
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2266
(6)
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D
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Common Stock
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11/1/2010
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M
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5000
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A
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$8.01
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7266
(6)
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D
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Common Stock
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11/1/2010
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S
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5000
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D
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$14.4649
(1)
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2266
(6)
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D
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Common Stock
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11/1/2010
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M
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4125
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A
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$8.01
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6391
(6)
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D
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Common Stock
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11/1/2010
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S
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4125
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D
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$14.4649
(1)
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2266
(6)
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D
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Common Stock
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11/1/2010
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M
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5417
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A
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$6.11
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7683
(6)
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D
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Common Stock
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11/1/2010
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S
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5417
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D
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$14.4649
(1)
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2266
(6)
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D
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Common Stock
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11/1/2010
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M
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7083
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A
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$6.47
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9349
(6)
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D
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Common Stock
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11/1/2010
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S
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7083
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D
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$14.4649
(1)
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2266
(6)
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D
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Common Stock
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11/1/2010
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M
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4500
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A
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$8.10
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6766
(6)
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D
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Common Stock
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11/1/2010
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S
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4500
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D
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$14.4649
(1)
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2266
(6)
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D
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Common Stock
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11/1/2010
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M
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13125
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A
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$7.80
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15391
(6)
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D
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Common Stock
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11/1/2010
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S
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13125
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D
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$14.4649
(1)
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2266
(6)
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D
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Common Stock
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11/1/2010
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M
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2222
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A
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$6.00
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4488
(6)
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D
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Common Stock
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11/1/2010
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S
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2222
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D
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$14.4649
(1)
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2266
(6)
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D
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Common Stock
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11/2/2010
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S
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2266
(7)
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D
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$14.45
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0
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Non-Qualified Stock Option (right to buy)
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$8.01
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11/1/2010
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M
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13800
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(2)
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5/17/2012
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Common Stock
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13800
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$0
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0
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D
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Incentive Stock Option (right to buy)
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$8.01
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11/1/2010
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M
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5000
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(3)
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5/17/2012
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Common Stock
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5000
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$0
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0
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D
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Non-Qualified Stock Option (right to buy)
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$8.01
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11/1/2010
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M
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4125
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(4)
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5/17/2012
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Common Stock
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4125
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$0
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0
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D
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Non-Qualified Stock Option (right to buy)
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$6.11
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11/1/2010
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M
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5417
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(2)
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8/29/2012
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Common Stock
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5417
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$0
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0
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D
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Non-Qualified Stock Option (right to buy)
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$6.47
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11/1/2010
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M
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7083
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(2)
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8/15/2013
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Common Stock
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7083
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$0
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0
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D
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Non-Qualified Stock Option (right to buy)
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$8.10
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11/1/2010
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M
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4500
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(5)
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12/28/2013
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Common Stock
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4500
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$0
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0
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D
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Non-Qualified Stock Option (right to buy)
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$7.80
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11/1/2010
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M
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13125
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(2)
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8/15/2014
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Common Stock
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13125
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$0
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0
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D
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Non-Qualified Stock Option (right to buy)
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$6.00
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11/1/2010
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M
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2222
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(2)
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8/16/2017
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Common Stock
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2222
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$0
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37778
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D
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Explanation of Responses:
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(
1)
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The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.46 to $14.53, inclusive. The reporting person has provided to the issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.
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(
2)
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This option shall vest over thirty-six (36) months at a rate of one thirty-sixth (1/36) per month beginning with the first monthly anniversary of the grant date.
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(
3)
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Twenty-four percent (24%) of the shares subject to this option shall vest twelve (12) months after the grant date, and two percent (2%) of the shares subject to this option shall vest on each monthly anniversary of the grant date.
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(
4)
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This option shall vest over fifty (50) months at a rate of two percent (2%) per month beginning with the first monthly anniversary of the grant date.
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(
5)
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One-third (1/3) of the shares subject to this option shall vest twelve (12) months after the grant date and one thirty-sixth (1/36) of the shares shall vest on each monthly anniversary of the grant date thereafter.
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(
6)
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Includes 2,266 shares acquired under the Employee Stock Purchase Plan on October 29, 2010.
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(
7)
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These shares were purchased under the MIPS Technologies, Inc. Employee Stock Purchase Plan on October 29, 2010.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Shulman Gail H
MIPS TECHNOLOGIES, INC.
955 EAST ARQUES AVENUE
SUNNYVALE, CA 94085
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General Counsel
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Signatures
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Gail H. Shulman
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11/2/2010
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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