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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 Unit (RSU) | (3) | 08/15/2013 | M | 23,833 | (4) | 06/30/2014 | Common Stock | 23,833 | $ 0 | 23,833 | D | ||||
RSU | (3) | 08/15/2013 | M | 19,500 | (5) | 08/15/2014 | Common Stock | 19,500 | $ 0 | 19,500 | D | ||||
RSU | (3) | 08/15/2013 | M | 26,584 | (6) | 05/18/2015 | Common Stock | 26,584 | $ 0 | 53,166 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GECHT GUY 303 VELOCITY WAY FOSTER CITY, CA 94404 |
X | Chief Executive Officer |
/s/ Guy Gecht | 08/19/2013 | |
**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) | Upon vesting, each restricted stock unit was converted into one share of Electronics For Imaging, Inc. common stock. |
(2) | Represents shares of common stock withheld by the issuer for tax purposes upon vesting of the restricted stock units. This transaction is exempt under Rule 16b-3(e). |
(3) | Each restricted stock unit represents a contingent right to receive one share of Electronics For Imaging, Inc. common stock. |
(4) | This is a performance-based award granted on August 15, 2011. One third of this RSU award vested on May 23, 2012, based on the company's achievement of the target revenue and non-GAAP operating income growth levels for the applicable performance period; one-third of the award vested on August 15, 2013 based on the company's achievement of the target revenue and non-GAAP operating income growth over four consecutive quarters by the end of the second fiscal quarter of 2013; and the remaining one-third of the award will vest if the company achieves the target revenue and non-GAAP operating income growth over four consecutive quarters by the end of the company's second fiscal quarter of 2014. In each case, vesting of the award is subject to the reporting person's continued employment with the issuer through the applicable vesting date. |
(5) | This restricted stock unit award was granted on August 15, 2011 and is scheduled to vest with respect to 33 1/3% of the units on each of the first second and third anniversaries of the date of grant, subject to the reporting person's continued employment with the issuer through the applicable vesting date. |
(6) | This is a performance-based award granted on May 18, 2012. One third of this RSU award vested on August 15, 2013, based on the company's achievement of the target revenue and non-GAAP operating income for the applicable performance period; and one-third of the award will vest if the company achieves the target revenue and non-GAAP operating income growth over four consecutive quarters by the end of each of the issuer's second fiscal quarter of 2014 and second fiscal quarter of 2015, respectively. In each case, vesting of the award is subject to the reporting person's continued employment with the issuer through the applicable vesting date. |