0001332201-12-000035.txt : 20120509 0001332201-12-000035.hdr.sgml : 20120509 20120509213850 ACCESSION NUMBER: 0001332201-12-000035 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120507 FILED AS OF DATE: 20120509 DATE AS OF CHANGE: 20120509 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SIMON PHILIP B CENTRAL INDEX KEY: 0001263305 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31396 FILM NUMBER: 12827530 MAIL ADDRESS: STREET 1: 101 YGNACIO VALLEY ROAD STREET 2: SUITE 310 CITY: WALNUT CREEK STATE: CA ZIP: 94596 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LEAPFROG ENTERPRISES INC CENTRAL INDEX KEY: 0001138951 STANDARD INDUSTRIAL CLASSIFICATION: GAMES, TOYS & CHILDREN'S VEHICLES (NO DOLLS & BICYCLES) [3944] IRS NUMBER: 954700094 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6401 HOLLIS ST STREET 2: STE 100 CITY: EMERYVILLE STATE: CA ZIP: 94608 BUSINESS PHONE: 5104205000 MAIL ADDRESS: STREET 1: 6401 HOLLIS STREET STREET 2: SUITE 100 CITY: EMERYVILLE STATE: CA ZIP: 94608 4 1 edgar.xml PRIMARY DOCUMENT X0305 4 2012-05-07 0001138951 LEAPFROG ENTERPRISES INC LF 0001263305 SIMON PHILIP B 101 YGNACIO VALLEY ROAD, SUITE 320 WALNUT CREEK CA 94596 1 0 1 0 Class A Common Stock 2012-05-07 4 M 0 26000 1.59 A 26000 D Class A Common Stock 2012-05-07 4 S 0 26000 9.9962 D 0 D Class A Common Stock 2012-05-08 4 M 0 22000 2.75 A 22000 D Class A Common Stock 2012-05-08 4 M 0 4000 1.59 A 26000 D Class A Common Stock 2012-05-08 4 S 0 26000 10.218 D 0 D Class A Common Stock 2012-05-09 4 M 0 12027 2.75 A 12027 D Class A Common Stock 2012-05-09 4 M 0 4722 2.29 A 16749 D Class A Common Stock 2012-05-09 4 M 0 9166 3.92 A 25915 D Class A Common Stock 2012-05-09 4 S 0 25915 10.2343 D 0 D Non-qualified Stock Option (right to buy) 1.59 2012-05-07 4 M 0 26000 0 D 2019-03-17 Class A Common Stock 26000 4000 D Non-qualified Stock Option (right to buy) 1.59 2012-05-08 4 M 0 4000 0 D 2019-03-17 Class A Common Stock 4000 0 D Non-qualified Stock Option (right to buy) 2.75 2012-05-08 4 M 0 22000 0 D 2019-05-15 Class A Common Stock 22000 13000 D Non-qualified Stock Option (right to buy) 2.75 2012-05-09 4 M 0 12027 0 D 2019-05-15 Class A Common Stock 12027 973 D Non-qualified Stock Option (right to buy) 2.29 2012-05-09 4 M 0 4722 0 D 2019-07-01 Class A Common Stock 4722 278 D Non-qualified Stock Option (right to buy) 3.92 2012-05-09 4 M 0 9166 0 D 2020-07-01 Class A Common Stock 9166 5834 D This transaction was executed pursuant to a volume average weighted price agreement pursuant to which the reporting person's broker agreed that the selling price of the securities sold would be the volume average weighted price of all securities of the issuer traded on the New York Stock Exchange on the date of sale. Granted under the Issuer's 2002 Non-employee Directors' Stock Award Plan, as amended. The option shares vest in 36 equal monthly installments commencing 3/17/2009.. Granted under the Issuer's 2002 Non-employee Directors' Stock Award Plan, as amended. The option becomes exercisable, if at all, when the average closing price of the Company's Class A common stock on the NYSE across all trading days during a consecutive 90-day period that occurs after the grant date and during the term of the option equals or exceeds $4.00 per share (such condition of vesting, the "Price Condition"). In addition, subject to the Price Condition, the option will vest over three years commencing May 15, 2009 in equal monthly installments. Any option shares that would, but for the Price Condition, have vested according to the vesting schedule above will vest when the Price Condition is met. Annual grant under the Issuer's 2002 Non-Employee Directors' Stock Award Plan, as amended. Options vest at the rate of 1/36 per month for 36 consecutive months commencing August 1, 2009. Annual grant under the Issuer's 2002 Non-Employee Directors' Stock Award Plan, as amended. Options vest at the rate of 1/36 per month for 36 consecutive months commencing August 1, 2010. Robert A. Lattuga, Attorney-in-Fact on behalf of Philip B. Simon 2012-05-09