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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) | $ 13.85 | 02/20/2007 | M | 15,000 | (2) | 04/29/2013 | Common Stock | 15,000 | $ 0 | 5,000 | I | By family trust | |||
Employee Stock Option (Right to Buy) | $ 33.72 | 02/20/2007 | M | 20,000 | (3) | 05/20/2014 | Common Stock | 20,000 | $ 0 | 20,000 | I | By family trust |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NOLAN PETER P C/O ADVANCED MEDICAL OPTICS, INC. 1700 E. ST. ANDREW PLACE SANTA ANA, CA 92705 |
Former officer, eff. 12/5/06 |
Peter P. Nolan, by Aimee S. Weisner, Attorney in Fact | 02/21/2007 | |
**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) | Includes less than one share that was acquired under the Advanced Medical Optics, Inc. Employee Stock Purchase Plan through October 31, 2006. |
(2) | Previously reported exempt stock option grant, which vests ratably on each of the first four anniversaries of the date of grant (April 29, 2003) , such that the option will be fully vested on April 29, 2007 (provided applicable provisions of such option are complied with). |
(3) | Previously reported exempt stock option grant, which vests ratably on each of the first four anniversaries of the date of grant (May 20, 2004) , such that the option will be fully vested on May 20, 2008 (provided applicable provisions of such option are complied with). |