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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 | ||||||||
Stock Option (Right to Buy) | $ 10.77 | 08/21/2004 | 08/21/2012 | Common Stock, par value $.01 per share | 208,794 (3) | 208,794 (3) | D | ||||||||
Stock Option (Right to Buy) | $ 14.52 | (4) | 06/06/2013 | Common Stock, par value $.01 per share | 45,000 (4) | 45,000 (4) | D | ||||||||
Stock Option (Right to Buy) | $ 9.7 | 01/01/2003 | 02/18/2010 | Common Stock, par value $.01 per share | 6,000 (5) | 6,000 (5) | I | By Husband | |||||||
Stock Option (Right to Buy) | $ 14.52 | (6) | 06/06/2013 | Common Stock, par value $.01 per share | 1,500 (6) | 1,500 (6) | I | By Husband | |||||||
Stock Option (Right to Buy) | $ 16.23 | 12/09/2004 | A | 45,000 (7) | (7) | 12/09/2014 | Common Stock, par value $.01 per share | 45,000 (7) | $ 0 | 45,000 (7) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
COBB CAROLE B 925 PAGE MILL ROAD PALO ALTO, CA 94304 |
Sr. VP - Global Supply |
Mark D. Buri, as Attorney-in-fact for Carole B. Cobb | 12/13/2004 | |
**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) | Ms. Cobb disclaims beneficial ownerhsip of these shares. |
(2) | These shares are held in two custodial accounts (600 shares each) for Ms. Cobb's two daughters. Ms. Cobb no longer has a reportable beneficial interest in 600 shares owned by another daughter that were included in Ms. Cobb's prior ownership reports. |
(3) | This option was previously reported by Ms. Cobb. |
(4) | This option was previously reported by Ms. Cobb. Ms. Cobb can exercise this option as follows: 15,000 shares on 6/06/04, 15,000 on 6/06/05 and 15,000 on 6/06/06. |
(5) | This option is held by Ms. Cobb's husband and was previously reported by Ms. Cobb. Ms. Cobb disclaims beneficial ownership of this option and the underlying shares. |
(6) | This option is held by Ms. Cobb's husband and was previously reported by Ms. Cobb. Mr. Cobb can exercise this option as follows: 499 shares on 6/06/04, 500 shares on 6/06/05 and 501 shares on 6/06/06. Ms. Cobb disclaims beneficial ownership of this option and the underlying shares. |
(7) | This option was granted under the Genencor International, Inc. 2002 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3. Ms. Cobb can exercise this option as follows: 15,000 shares on 12/09/05, 15,000 on 12/09/06 and 15,000 on 12/09/07. |