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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 Series FY03-4 Performance Units | (4) | 10/08/2006 | M | 20,000 (5) | (4) | 03/24/2013 | Applied Biosystems Group Common Stock (4) | 20,000 | (4) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WHITE TONY L APPLERA CORPORATION 301 MERRITT 7 NORWALK, CT 06851-1070 |
X | Chairman, President and CEO |
/s/ Thomas P. Livingston, Attorney-in-Fact for Tony L. White | 10/10/2006 | |
**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) | Represents settlement of Performance Units for cash as described in footnote 5 below. Price listed is the fair market value of Applera Corporation - Applied Biosystems Group Common Stock ("ABI Stock") on the settlement date. The settlement date was a Sunday, and therefore, the fair market value on the settlement date is based on the trading price of ABI Stock on October 6, 2006, the last trading date prior to the settlement date. |
(2) | Elizabeth Ann White Business Interests, LLLP, is a family limited partnership (the "FLP"). The reporting person's adult daughter is the sole general partner of the FLP, and the reporting person's wife and a grantor retained annuity trust established by the reporting person are currently the sole limited partners of the FLP. |
(3) | The reporting person's wife is the sole trustee of the Tony Lee White 2006 Two Year Grantor Retained Annuity Trust. |
(4) | The Performance Units provide for payment upon ABI Stock attaining price targets of $26.79 and $32.04 per share for a specified period and are payable over a minimum of eight quarters, subject to continued employment and an aggregate program expense cap. Units are payable in cash equal to $15.54 for each Performance Unit. |
(5) | Represents the payment of 20,000 Performance Units upon attainment of the $32.04 price target described in footnote 4 above. |