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
APPLERA CORP [ CRA/ABI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/21/2004 | ||||||||||||||||||||||||||
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 | ||||||
Celera Genomics Group Common Stock | 02/21/2004 | M | 3,249 | A | $14.885(1) | 22,471.3423(2) | D | |||
Celera Genomics Group Common Stock | 02/21/2004 | D | 3,249 | D | $14.885(1) | 19,222.3423(2) | D | |||
Applied Biosystems Group Common Stock | 881.7445(3) | 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 | ||||||||
Celera Genomics Group Series FY03-1 Performance Units | (4) | 02/21/2004 | M | 5,000(5) | (4) | 08/05/2012 | Celera Genomics Group Common Stock(4) | 5,000 | $0 | 5,000 | D |
Explanation of Responses: |
1. Represents the settlement of Performance Units for cash as described in footnote 5 below. The price listed is the fair market value of a share of Celera Genomics Group Common Stock ("CRA Stock") on the last trading day before settlement. |
2. Includes 522.4424 shares of CRA Stock purchased in September and December 2003 under the Company's employee stock purchase plan. |
3. Includes 292.2468 shares of Applied Biosystems Group Common Stock purchased between July 2003 and January 2004 under the Company's employee stock purchase plan. |
4. The Performance Units provide for payment upon CRA Stock attaining price targets of $14.675 and $19.675 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 or CRA Stock equal to $9.675 for each Performance Unit. |
5. Represents the payment of 5,000 Performance Units upon attainment of the $14.675 price target described in footnote 4 above. |
Remarks: |
Thomas P. Livingston, Attorney-in-Fact for Robert F. G. Booth | 02/23/2004 | |
** 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. |