|
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 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units (Right to Acquire) | (1) | 04/01/2015 | M | 169,717 | (6) | 04/01/2015 | Common Shares | 169,717 | $ 0 | 0 | D | ||||
Performance Award (Right to Acquire) | (4) | 04/01/2015 | M | 59,500 | (7) | 04/01/2015 | Common Shares | 59,500 | $ 0 | 0 | D | ||||
Restricted Stock Units (Right to Acquire) | (1) | 04/01/2015 | M | 50,000 | (8) | 04/01/2016 | Common Shares | 50,000 | $ 0 | 50,000 | D | ||||
Restricted Stock Units (Right to Acquire) | (1) | 04/01/2015 | M | 95,078 | (9) | 04/01/2015 | Common Shares | 95,078 | $ 0 | 0 | D | ||||
Performance Award (Right to Acquire) | (4) | 04/01/2015 | M | 32,834 | (10) | 04/01/2015 | Common Shares | 32,834 | $ 0 | 0 | D | ||||
Restricted Stock Units (Right to Acquire) | (1) | 04/01/2015 | M | 20,000 | (11) | 04/01/2016 | Common Shares | 20,000 | $ 0 | 20,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sutardja, Sehat 5488 MARVELL LANE SANTA CLARA, CA 95054 |
X | X | CEO | |
Dai, Weili 5488 MARVELL LANE SANTA CLARA, CA 95054 |
X | X | President |
/s/ Sehat Sutardja | 04/03/2015 | |
**Signature of Reporting Person | Date | |
/s/ Weili Dai | 04/03/2015 | |
**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) | Each restricted stock unit ("RSU") represented a contingent right to receive one Marvell common share. |
(2) | These securities are jointly owned by Ms. Weili Dai and Dr. Sehat Sutardja who are members of a "Group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended. Dr. Sutardja and Ms. Dai are husband and wife. |
(3) | Surrender of shares in payment of tax withholding due as a result of the vesting of RSUs or performance award (as applicable). |
(4) | Each performance award represented a contingent right to receive one Marvell common share. |
(5) | Ms. Dai and Dr. Sutardja are the general partners of The Sutardja Family Partners, a California family limited partnership. |
(6) | 169,717 shares granted pursuant to a performance-based RSU award were vested and released to Dr. Sutardja effective April 1, 2015. |
(7) | 59,500 shares granted pursuant to a performance award were vested and released to Dr. Sutardja effective April 1, 2015. |
(8) | 50,000 shares granted pursuant to a service-based RSU award were vested and released to Dr. Sutardja effective April 1, 2015. This grant vests in four equal annual installments beginning on the first anniversary of April 1, 2012, the vesting commencement date. |
(9) | 95,078 shares granted pursuant to a performance-based RSU award were vested and released to Ms. Dai effective April 1, 2015. |
(10) | 32,834 shares granted pursuant to a performance award were vested and released to Ms. Dai effective April 1, 2015. |
(11) | 20,000 shares granted pursuant to a service-based RSU award were vested and released to Ms. Dai effective April 1, 2015. This grant vests in four equal annual installments beginning on the first anniversary of April 1, 2012, the vesting commencement date. |