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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 | ||||||||
Incentive Stock Option (right to buy) | $ 6.44 | 08/06/2007 | D(5) | 15,526 | 11/11/2006(1) | 11/11/2012 | Common Stock | 15,526 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 7.605 | 08/06/2007 | A(5) | 15,526 | 11/11/2006(1) | 11/11/2012 | Common Stock | 15,526 | $ 0 | 15,526 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 6.44 | 08/06/2007 | D(5) | 34,474 | 11/11/2006(2) | 11/11/2012 | Common Stock | 34,474 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 7.605 | 08/06/2007 | A(5) | 34,474 | 11/11/2006(2) | 11/11/2012 | Common Stock | 34,474 | $ 0 | 34,474 | D | ||||
Incentive Stock Option (right to buy) | $ 16.42 | 08/06/2007 | D(5) | 6,090 | 04/05/2008(3) | 04/05/2014 | Common Stock | 6,090 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 17.525 | 08/06/2007 | A(5) | 6,090 | 04/05/2008(3) | 04/05/2014 | Common Stock | 6,090 | $ 0 | 6,090 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 16.42 | 08/06/2007 | D(5) | 53,910 | 04/05/2007(4) | 04/05/2014 | Common Stock | 53,910 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 17.525 | 08/06/2007 | A(5) | 53,910 | 04/05/2007(4) | 04/05/2014 | Common Stock | 53,910 | $ 0 | 53,910 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bado George M 111 MCINNIS PARKWAY SAN RAFAEL, CA 94903 |
VP, Worldwide Sales |
Diane Cree, Attorney-in-Fact for George M. Bado | 08/08/2007 | |
**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) | The option vests in four equal annual installments of 15,526 shares each beginning on November 11, 2002. |
(2) | The option vests in four equal annual installments of 34,474 shares each beginning on November 11, 2002. |
(3) | The option vests over a 4-year period beginning on April 5, 2004, at the rate of 0 shares on each of the first, second and third year anniversaries, and 6,090 shares on the fourth year anniversary. |
(4) | The option vests over a 4-year period beginning on April 5, 2004, at the rate of 30,000 shares on each of the first, second and third year anniversaries, and 23,910 shares on the fourth year anniversary. |
(5) | The reported transactions involved an amendment of an outstanding option resulting in a deemed cancellation of the old option and a grant of a replacement option. See the current report on Form 8-K filed with the SEC by Autodesk, Inc.on July 27, 2007 for more information. |