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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 | ||||||||
Employee Stock Option (Right to Buy) | $ 32.3937 | 12/20/2011 | M | 250,000 | (8) | 04/24/2012 | Common Stock | 250,000 | $ 0 | 316,754 | I | By Living Trust | |||
Employee Stock Option (Right to Buy) | $ 32.3937 | 12/21/2011 | M | 250,000 | (8) | 04/24/2012 | Common Stock | 250,000 | $ 0 | 66,754 | I | By Living Trust | |||
Employee Stock Option (Right to Buy) | $ 32.3937 | 12/22/2011 | M | 66,754 | (8) | 04/24/2012 | Common Stock | 66,754 | $ 0 | 0 | I | By Living Trust |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PYOTT DAVID E I 2525 DUPONT DRIVE IRVINE, CA 92612 |
X | Chairman, President and CEO |
/s/ Matthew J. Maletta, attorney-in-fact for David E.I. Pyott | 12/22/2011 | |
**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 transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 Trading Plan adopted by the reporting person on November 3, 2011. |
(2) | The price reported in this Form 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $85.90 to $85.96, inclusive. The reporting person undertakes to provide Allergan, Inc., any security holders of Allergan, Inc., or the staff of the Securities Exchange Commission, the full information regarding the number of shares sold at each price range sert forth in this footnote. |
(3) | The price reported in comlumn 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $85.90 to $86.72, inclusive. The reporting person undertakes to provide Allergan, Inc., any security holder of Allergan, Inc., or the staff of the Securities Exchange Commission, upon request, the full information regarding the number of shares sold at each price within the range set forth in this footnote. |
(4) | The price reported in column 4 is the weighted average price. These shares were sold in multiple transaction at prices ranging from $85.90 to $87.11, inclusive. The reporting person undertakes to provide Allergan, Inc., any security holder of Allergan, Inc., or the staff of the Securities Exchange Commission, upon request, the full information regarding the number of shares sold at each price within the range set forth in this footnote. |
(5) | David and Julianna Pyott Living Trust dated June 14, 1999, in which the reporting person has a pecuniary interest and of which the reporting person and his spouse are each trustees. |
(6) | Shares allocated to reporting person's SIP account as of reporting date. |
(7) | Shares allocated to the reporting person's ESOP account as of reporting date. |
(8) | The option became exercisable in four equal annual installments beginning 4/24/2003. |