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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 | ||||||||
Phantom Stock Units | (2) | 04/28/2010 | A | 16.41 (3) | (4) | (4) | Common Stock | 16.41 | $ 60.95 | 15,813.89 | D | ||||
Phantom Stock Units | (2) | 04/28/2010 | A | 16.41 (3) | (4) | (4) | Common Stock | 16.41 | $ 60.95 | 15,830.3 | D | ||||
Nonemployee Director Stock Option (Right to Buy) | $ 61.98 | 04/29/2010 | A | 11,400 | (5) | 04/29/2020 | Common Stock | 11,400 | $ 61.98 | 11,400 | D | ||||
Phantom Stock Units | (2) | 04/29/2010 | A | 32.27 (3) | (4) | (4) | Common Stock | 32.27 | $ 61.98 | 15,862.57 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GALLAGHER MICHAEL R 2525 DUPONT DRIVE IRVINE, CA 92612 |
X |
/s/ Matthew J. Maletta, Attorney-in-Fact for Michael R. Gallagher | 04/30/2010 | |
**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) | Restricted Stock granted to Nonemployee Directors under the Allergan, Inc. 2008 Incentive Award Plan. Stock vests at the rate of 4,800 shares each calendar year upon the earlier to occur (i) the first anniversary of the grant date, or (ii) the annual meeting held during such calendar year at which one or more members of the board are standing for re-election following the date of grant. |
(2) | Converts to common stock on a 1-for-1 basis. |
(3) | Phantom stock units acquired under the Allergan, Inc. Deferred Directors' Fee Program in lieu of cash for meeting fees. |
(4) | Phantom stock units are to be settled 100% in stock upon the reporting person's retirement as an Allergan, Inc. director. |
(5) | Option is fully vested and exercisable upon the earlier to occur (i) the first anniversary of the grant date, or (ii) the annual meeting held during such calendar year at which one or more members of the board are standing for re-election following the date of grant. |