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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 Options | $ 11.5 | 02/19/2014 | M | 52,372 | 02/15/2014 | 05/11/2019 | Common Stock, par value $0.000001 per share | 52,372 | $ 0 | 187,628 | I | See footnote. (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Tippl Thomas C/O ACTIVISION BLIZZARD, INC. 3100 OCEAN PARK BOULEVARD SANTA MONICA, CA 90405 |
Chief Operating Officer |
/s/ Thomas Tippl | 02/19/2014 | |
**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) | On February 15, 2014, the restrictions lapsed with respect to 56,250 performance-based restricted shares of the Company's common stock held by Mr. Tippl. Pursuant to the terms of his restricted stock award agreement, the Company withheld 29,352 of the shares otherwise deliverable to him in order to satisfy the resulting tax withholding obligation. |
(2) | These securities are held by the Thomas and Laura Tippl Family Trust. |
(3) | On February 15, 2014, the restrictions lapsed with respect to 30,000 restricted shares of the Company's common stock held by Mr. Tippl. Pursuant to the terms of his restricted stock award agreement, the Company withheld 15,654 of the shares otherwise deliverable to him in order to satisfy the resulting tax withholding obligation. |
(4) | On February 15, 2014, 87,500 restricted stock units held by Mr. Tippl vested. Pursuant to the terms of his restricted stock unit award agreement, the Company withheld 45,658 of the shares otherwise deliverable to him in order to satisfy the resulting tax withholding obligation. |
(5) | The price in column 4 is a weighted average price. The prices actually received for the stock ranged from $19.80 to $19.85 per share. Mr. Tippl has provided the Company, and upon request, will provide any security holder of the Company or the SEC staff, with information regarding the number of shares sold at each price within that range. |
(6) | Following the transactions reported on this Form 4, Mr. Tippl (through the Thomas and Laura Tippl Family Trust) held (a) 83,086 shares of the Company's common stock, (b) 309,917 restricted stock units, each representing the right to receive a share of the Company's common stock, and (c) 1,022,728 performance-based restricted shares of the Company's common stock. |