UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | Â (2)(3) | 05/22/2011 | COMMON STOCK | 5,000 | $ 0.5 | D | Â |
EMPLOYEE STOCKL OPTION (RIGHT TO BUY) | Â (2)(3) | 10/03/2011 | COMMON STOCK | 53,000 | $ 0.5 | D | Â |
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | Â (2)(4) | 06/21/2014 | COMMON STOCK | 80,000 | $ 0.3 | D | Â |
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | Â (2)(5) | 08/17/2015 | COMMON STOCK | 11,600 | $ 6 | D | Â |
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | Â (2)(6) | 05/08/2016 | COMMON STOCK | 40,000 | $ 10.39 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
THOMAS JEANNINE M SMITH C/0 SHUTTERFLY INC 2800 BRIDGE PARKWAY SUITE 101 REDWOOD CITY, CA 94065 |
 |  |  SENIOR VP, OPERATIONS |  |
/S/ DOUGLAS APPLETON, ATTORNE-IN-FACT FOR JEANNINE M. SMITH THOMAS | 09/28/2006 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | SHARES BENEFICIALLY HELD BY A TRUST FOR THE BENEFIT OF MS. SMITH THOMAS'S MINOR CHILDREN. MS. SMITH THOMAS DISCLAIMS BENEFICIALLY OWNERSHIP OF THESE SHARES EXCEPT TO THE EXTENT OF HER INDIVIDUAL PECUNIARY INTEREST IN THE TRUST, AND THE INCLUSION OF THESE SHARES IN THIS REPORT SHALL NOT BE DEEMED AN ADMISSION OF BENEFICIAL OWNERSHIP OF THE SHARES FOR PURPOSES OF SECTION 16 OR FOR ANY OTHER PURPOSE. |
(2) | IMMEDIATELY EXERCISABLE. |
(3) | OPTION IS FULLY VESTED. |
(4) | COMMENCING JUNE 22,2004, THE OPTION VESTS MONTHLY AS TO 1/48TH OF THE TOTAL NUMBER SHARES SUBJECT TO THE GRANT. |
(5) | OPTION VESTS AS TO 25% OF THE SHARES SUBJECT TO THE GRANT ON AUGUST 18, 2006, AND AS TO AN ADDITIONAL 1/48TH OF THE TOTAL NUMBER OF SHARES SUBJECT TO THE GRANT AT THE END OF EACH FULL MONTH THEREAFTER. |
(6) | OPTION VESTS AS TO 25% OF THE SHARES SUBJECT TO THE GRANT ON MAY 9, 2007, AND AS TO AN ADDITIONAL 1/48TH OF THE TOTAL NUMBER OF SHARES SUBJECT TO THE GRANT AT THE END OF EACH FULL MONTH THEREAFTER. |
 Remarks: CONFIRMING STATEMENT THIS STATEMENT CONFIRMS THAT THE UNDERSIGNED, JEANNINE M. SMITH THOMAS, HAS AUTHORIZED AND DESIGNATED JOHN A. KAELLE AND/OR DOUGLAS APPLETON TO EXECUTE AND FILE ON THE UNDERSIGNED'S BEHALF ALL FORMS 3, 4 AND 5 (INCLUDING ANY AMENDMENTS THERETO) THAT THE UNDERSIGNED MAY BE REQUIRED TO FILE WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION AS A RESULT OF THE UNDERSIGNED'S OWNERSHIP OF OR TRANSACTIONS IN SECURITIES OF SHUTTERFLY, INC.  THE AUTHORITY OF JOHN A. KAELLE AND/OR DOUGLAS APPLETON UNDER THIS STATEMENT SHALL CONTINUE UNTIL THE UNDERSIGNED IS NO LONGER REQUIRED TO FILE FORMS 3, 4 AND 5 WITH REGARD TO THE UNDERSIGNED'S OWNERSHIP OF OR TRANSACTIONS IN SECURITIES OF SHUTTERFLY, INC., UNLESS EARLIER REVOKED IN WRITING.  THE UNDERSIGNED ACKNOWLEDGES THAT JOHN A. KAELLE AND/OR DOUGLAS APPLETON ARE NOT ASSUMING ANY OF THE UNDERSIGNED'S RESPONSIBILITIES TO COMPLY WITH SECTION 16 OF THE SECURITIES EXCHANGE ACT OF 1934. DATE:  SEPTEMBER 28, 2006 /S/ JEANNINE M. SMITH THOMAS |