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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 | ||||||||
Deferred Stock Units | (1) | 11/30/2006 | D | 5,216.785 | (2) | (2) | Common Stock | 5,216.785 | $ 0 | 0 (1) | D | ||||
Employee Stock Options (Right to buy) | $ 1.42 | 11/30/2006 | D | 650,000 | 11/30/2006 | 12/15/2009 | Common Stock | 650,000 | $ 0 | 0 (3) | D | ||||
Employee Stock Options (Right to buy) | $ 1.78 | 11/30/2006 | D | 1,173,441 | 11/30/2006 | 11/24/2007 | Common Stock | 1,173,441 | $ 0 | 0 (3) | D | ||||
Employee Stock Options (Right to buy) | $ 2.42 | 11/30/2006 | D | 607,500 | (4) | 10/31/2013 | Common Stock | 607,500 | $ 0 | 0 (3) | D | ||||
Employee Stock Options (Right to buy) | $ 2.82 | 11/30/2006 | D | 647,500 | (5) | 11/30/2012 | Common Stock | 647,500 | $ 0 | 0 (3) | D | ||||
Employee Stock Options (Right to buy) | $ 3.21 | 11/30/2006 | D | 650,000 | (6) | 11/30/2010 | Common Stock | 650,000 | $ 0 | 0 (3) | D | ||||
Employee Stock Options (Right to buy) | $ 3.955 | 11/30/2006 | D | 762,500 | (7) | 11/30/2011 | Common Stock | 762,500 | $ 0 | 0 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BREWINGTON JAMES K 67 WHIPPANY RD WHIPPANY, NJ 07981 |
Pres., Developing Mkts |
James K. Brewington, by William R. Carpezzi, Jr. as attorney-in-fact | 11/30/2006 | |
**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). |
(5) | These options, after conversion to Alcatel-Lucent options, will vest in four equal annual installments beginning on 12/1/2006. |
(3) | Pursuant to the terms of the merger agreement, each option to purchase Lucent stock was converted into the right to purchase 0.1952 of an American Depositary Share of Alcatel-Lucent ( the combined company). |
(4) | These options, after conversion to Alcatel-Lucent options, will vest in four equal annual installments beginning on 11/1/2007. |
(6) | As of 11/30/2006, there were 325,000 options that were fully vested and exercisable. The remaining unvested options, after conversion to Alcatel-Lucent options, will vest in two equal annual installments beginning on 12/1/2006. |
(7) | On 11/30/2006, there were 190,526 options that were fully vested andexercisable. The remaining unvested options, after conversion to Alcatel-Lucent options, will vest in three equal annual installments beginning on 12/1/2006. |
(2) | Payable generally following termination of employment with the Company or upon attainment of a specified age. |
(1) | Pursuant to the terms of the merger agreement between Alcatel and Lucent Technologies Inc., each share of Lucent common stock, par value $.01 per share, was converted into 0.1952 of an American Depositary Share of Alcatel-Lucent ( the combined company). |