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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 | ||||||||
Restricted Stock Units | $ 0 (3) | 02/20/2015 | M | 782 | 05/20/2012(4) | (4) | Common Stock | 782 | $ 0 | 3,125 | D | ||||
Restricted Stock Units | $ 0 (3) | 02/20/2015 | M | 4,063 | 05/20/2013(5) | (5) | Common Stock | 4,063 | $ 0 | 32,500 | D | ||||
Restricted Stock Units | (3) | 02/20/2015 | M | 1,563 | (6) | (6) | Common Stock | 1,563 | $ 0 | 18,750 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SWANK STEVEN S C/O RPX CORPORATION ONE MARKET PLAZA, STEUART TOWER STE. 800 SAN FRANCISCO, CA 94105 |
Senior Vice President |
Martin Roberts, Attorney-in-Fact for Steven S. Swank | 02/24/2015 | |
**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 sale reported was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on May 30, 2014. |
(2) | The price reported in column 4 is the weighted average price. The shares were sold in multiple transactions ranging from $14.04 to $14.30, inclusive. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4. |
(3) | Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. The units were awarded at no cost to Reporting Person. |
(4) | 6.25% of the 12,500 stock units subject to the award vest on this date and 6.25% of the shares subject to the award vest in equal quarterly installments thereafter, provided that Reporting Person remains in continuous service through each vest date. The quarterly vest dates are February 20, May 20, August 20 and November 20. |
(5) | 6.25% of the 65,000 stock units subject to the award vest on this date and 6.25% of the shares subject to the award vest in equal quarterly installments thereafter, provided that Reporting Person remains in continuous service through each vest date. The quarterly vest dates are February 20, May 20, August 20 and November 20. |
(6) | 6.25% of the 25,000 stock units subject to the award vest on May 20, 2014 and 6.25% of the shares subject to the award vest in equal quarterly installments thereafter, provided that Reporting Person remains in continuous service through each vest date. The quarterly vest dates are February 20, May 20, August 20 and November 20. |