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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 | ||||||||
Applied Biosystems Group Employee Stock Options-Right to Buy | $ 28.2343 (2) | 11/21/2008 | D | 42,200 (2) | (3) | 06/17/2009 | Applied Biosystems Group Common Stock | 42,200 (2) | (2) | 0 | D | ||||
Applied Biosystems Group Employee Stock Options-Right to Buy | $ 28.2343 (2) | 11/21/2008 | D | 42,200 (2) | (3) | 06/17/2009 | Applied Biosystems Group Common Stock | 42,200 (2) | (2) | 0 | D | ||||
Applied Biosystems Group Employee Stock Options-Right to Buy | $ 27.1875 (2) | 11/21/2008 | D | 100,000 (2) | (3) | 05/13/2009 | Applied Biosystems Group Common Stock | 100,000 (2) | (2) | 0 | D | ||||
Applied Biosystems Group Employee Stock Options-Right to Buy | $ 55.0625 (2) | 11/21/2008 | D | 42,200 (2) | (3) | 12/27/2009 | Applied Biosystems Group Common Stock | 42,200 (2) | (2) | 0 | D | ||||
Applied Biosystems Group Employee Stock Options-Right to Buy | $ 55.0625 (2) | 11/21/2008 | D | 42,200 (2) | (3) | 12/27/2009 | Applied Biosystems Group Common Stock | 42,200 (2) | (2) | 0 | D | ||||
Applied Biosystems Group Employee Stock Options-Right to Buy | $ 100.4688 (2) | 11/21/2008 | D | 100,000 (2) | (3) | 03/17/2010 | Applied Biosystems Group Common Stock | 100,000 (2) | (2) | 0 | D | ||||
Applied Biosystems Group Employee Stock Options-Right to Buy | $ 100.4688 (2) | 11/21/2008 | D | 42,200 (2) | (3) | 03/17/2010 | Applied Biosystems Group Common Stock | 42,200 (2) | (2) | 0 | D | ||||
Applied Biosystems Group Employee Stock Options-Right to Buy | $ 61.4063 (2) | 11/21/2008 | D | 42,200 (2) | (3) | 06/15/2010 | Applied Biosystems Group Common Stock | 42,200 (2) | (2) | 0 | D | ||||
Applied Biosystems Group Employee Stock Options-Right to Buy | $ 34.625 (2) | 11/21/2008 | D | 56,000 (2) | (3) | 01/30/2017 | Applied Biosystems Group Common Stock | 56,000 (2) | (2) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WINGER DENNIS L APPLIED BIOSYSTEMS INC. 301 MERRITT 7 NORWALK, CT 06851-1070 |
Senior Vice President and CFO |
/s/ Thomas P. Livingston, Attorney-In-Fact for Dennis L. Winger | 11/24/2008 | |
**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 November 21, 2008, the issuer was acquired by Invitrogen Corporation (renamed Life Technologies Corporation) pursuant to an Agreement and Plan of Merger dated as of June 11, 2008 (as amended, the "merger agreement"). All shares of the issuer's Applied Biosystems Group common stock ("ABI stock") held by the reporting person at the time of the merger were exchanged for merger consideration pursuant to the merger agreement. The merger consideration consists of the right to receive, at the election of each stockholder, either (1) $17.10 in cash and 0.4543 of a share of Life Technologies common stock (plus an additional cash payment of $1.05 per share paid as a merger consideration adjustment due to the trading price of ABI stock during a specified period of time prior to the merger), (2) $38 in cash, or (3) 0.8261 shares of Life Technologies common stock (plus an additional cash payment of $1.91 paid as a merger consideration adjustment due to the trading price of ABI stock during a specified period of time prior to the merger), in the case of (2) and (3) subject to proration in accordance with the merger agreement. |
(2) | Pursuant to the merger agreement, upon completion of the merger each outstanding award of options to purchase shares of ABI stock was converted into an award to purchase shares of Life Technologies Corporation common stock. Each new stock option award became an award to purchase shares of Life Technologies common stock in an amount equal to the product of (x) 0.8698, multiplied by (y) the number of shares of ABI stock underlying the stock option award outstanding as of closing (rounded down to the nearest share). The exercise price per share of each converted option is equal to the exercise price per share of the option prior to conversion divided by the exchange ratio of 0.8698 (rounded up to the nearest cent). |
(3) | All of these ABI stock options were fully vested and free from all restrictions upon the completion of the merger described in Note 1 above. Some of the options held by the reporting person and reported in Table II had vested at various dates prior to the merger. Pursuant to the merger agreement, options that had not vested prior to the merger became fully vested upon completion of the merger. |