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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 | ||||||||
Restricted Stock Unit (RSU) | (5) | 08/25/2018 | M | 11,361 | (6) | 08/25/2019 | Common Stock | 11,361 | $ 0 | 11,361 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GECHT GUY 6750 DUMBARTON CIRCLE FREMONT, CA 94555 |
X | CHIEF EXECUTIVE OFFICER |
/s/ Guy Gecht | 08/29/2018 | |
**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) | Upon vesting, each restricted stock unit was converted into one share of the common stock of Electronics For Imaging, Inc. (the "Company"). |
(2) | Represents shares of the Company's common stock withheld for tax purposes upon the vesting of the restricted stock units. This transaction is exempt under Rule 16b-3(e). |
(3) | The sales of the shares were effected pursuant to a Rule 10b5-1 plan entered into by the reporting person on August 31, 2016 that calls for sales on pre-determined dates. |
(4) | This transaction was executed in multiple trades ranging from $34.44 to $35.28. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
(5) | Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. |
(6) | This restricted stock unit award was granted on August 25, 2016 and is scheduled to vest with respect to one-third of the units on each of the first, second, and third anniversaries of the date of grant, subject to the reporting person's continued employment with the issuer through the applicable vesting date. |