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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 | (5) | 03/24/2009 | M | 20,000 | 03/24/2009 | (6) | Common Stock | 20,000 | (5) | 60,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KLEIN KENNETH 500 WIND RIVER WAY ALAMEDA, CA 94501 |
X | Chairman, President and CEO |
/s/ Ian R. Halifax, by Power of Attorney | 03/26/2009 | |
**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 reporting person received shares of Wind River common stock upon vesting of some of the restricted stock units granted on March 24, 2008. |
(2) | Includes 684 shares and 651 shares acquired under the Wind River stock purchase plan on June 30, 2008 and December 31, 2008, respectively. |
(3) | Upon the vesting and the relase of some of the restricted stock units granted to the reporting person on March 24, 2008, some of the vested restricted stock units were withheld to cover applicable income and payroll withholding taxes due on the release of the units. |
(4) | As of March 24, 2009, the reporting person owned 9,223.502 units, which units represent interests in a Wind River 401(K) Plan. As of March 24, 2009, those units equate in value to approximately 2,965.7106 shares of Wind River common stock at the closing price of Wind River common stock on March 24, 2009 of $6.50. This information is based on a plan statement dated as of March 24, 2009. |
(5) | Some of the restricted stock units granted to the reporting person on March 24, 2008 vested and the reporting person received shares of Wind River common stock as reported in Table I above. |
(6) | The restricted stock units vest in four equal annual installments beginning on March 24, 2009. |