FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
SEQUENOM INC [ SQNM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/30/2014 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 05/30/2014 | M | 28,000 | A | $0 | 65,721 | D | |||
Common Stock | 05/30/2014 | F(1) | 10,384 | D | $3.07 | 55,337 | D | |||
Common Stock | 05/30/2014 | M | 19,500 | A | $0 | 74,837 | D | |||
Common Stock | 05/30/2014 | F(1) | 7,329 | D | $3.07 | 67,508 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Unit | (2) | 05/30/2014 | M | 28,000 | (3) | (3) | Common Stock | 28,000 | $0 | 19,500 | D | ||||
Restricted Stock Unit | (2) | 05/30/2014 | M | 19,500 | (3) | (3) | Common Stock | 19,500 | $0 | 0 | D | ||||
Incentive Stock Option (right to buy) | $2.08 | (4) | 08/21/2016 | Common Stock | 92,500 | 92,500 | D | ||||||||
Incentive Stock Option (right to buy) | $2.08 | (5) | 08/22/2016 | Common Stock | 20,000 | 20,000 | D | ||||||||
Incentive Stock Option (right to buy) | $2.27 | (3) | 01/31/2024 | Common Stock | 26,697 | 26,697 | D | ||||||||
Incentive Stock Option (right to buy) | $4.16 | (3) | 01/31/2023 | Common Stock | 15,167 | 15,167 | D | ||||||||
Incentive Stock Option (right to buy) | $4.92 | (3) | 02/06/2022 | Common Stock | 21,197 | 21,197 | D | ||||||||
Incentive Stock Option (right to buy) | $4.93 | (6) | 07/09/2017 | Common Stock | 32,957 | 32,957 | D | ||||||||
Incentive Stock Option (right to buy) | $5.92 | (3) | 08/02/2020 | Common Stock | 26,879 | 26,879 | D | ||||||||
Incentive Stock Option (right to buy) | $6.7 | (3) | 02/13/2021 | Common Stock | 13,265 | 13,265 | D | ||||||||
Incentive Stock Option (right to buy) | $8.16 | (7) | 01/28/2018 | Common Stock | 7,801 | 7,801 | D | ||||||||
Incentive Stock Option (right to buy) | $25.15 | (8) | 01/15/2019 | Common Stock | 4,336 | 4,336 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $2.27 | (3) | 01/31/2024 | Common Stock | 28,303 | 28,303 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $4.16 | (3) | 01/31/2023 | Common Stock | 36,833 | 36,833 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $4.92 | (3) | 02/06/2022 | Common Stock | 84,803 | 84,803 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $4.93 | (6) | 07/09/2017 | Common Stock | 27,043 | 27,043 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $5.92 | (9) | 08/02/2020 | Common Stock | 23,121 | 23,121 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $6.7 | (3) | 02/13/2021 | Common Stock | 49,235 | 49,235 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $8.16 | (7) | 01/28/2018 | Common Stock | 32,199 | 32,199 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $25.15 | (8) | 01/15/2019 | Common Stock | 5,664 | 5,664 | D |
Explanation of Responses: |
1. Shares have been surrendered to the issuer to satisfy the reporting person's tax withholding obligation due on vesting of restricted stock units. |
2. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. |
3. Accelerated vesting effective May 30, 2014 of all outstanding stock option and restricted stock unit grants per contractual arrangement between officer and the Company. |
4. 25% of the shares subject to the option vested on August 22, 2007 with the remainder vesting in 36 equal monthly installments until fully vested on August 22, 2010. |
5. On August 22, 2006, the reporting person was granted an option to purchase 20,000 shares of common stock. The option vested in two equal installments based on SQNM's satisfaction of certain performance criteria for the year ended December 31, 2007. The performance criteria was met, resulting in 50% of the options vesting on January 29, 2008 and the remaining 50% vested on December 31, 2008. |
6. The shares subject to the options vested as follows: in 48 equal monthly installments commencing on 7/10/07, such that the shares subject to the option were fully vested on 7/10/11. |
7. The shares subject to the Stock Option vested and became exercisable in 48 equal monthly installments commencing one month after the grant date of January 29, 2008. |
8. The shares subject to the options vested in 48 equal monthly installments commencing on 1/16/09, such that the shares subject to the option fully vested on 1/16/13. |
9. The shares subject to the options vested in monthly installments commencing on 8/3/10, such that the shares subject to the option fully vested on 12/3/12. |
By: Clarke Neumann, as attorney-in-fact For: Alexander Michael Monko | 06/03/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |