FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/16/2007 |
3. Issuer Name and Ticker or Trading Symbol
CV THERAPEUTICS INC [ CVTX ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, $0.001 par value per share ( | 2,338.414 | I | By 401(k)(1) |
Common Stock | 7,503(2) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Nonstatutory Stock Option (right to buy) | (3) | 06/23/2013 | Common Stock | 115,000 | $30 | D | |
Nonstatutory Stock Option (right to buy) | (3) | 12/17/2003 | Common Stock | 10,000 | $13.38 | D | |
Nonstatutory Stock Option (right to buy) | (3) | 12/05/2015 | Common Stock | 8,100 | $24.94 | D | |
Nonstatutory Stock Option (right to buy) | (3) | 12/11/2016 | Common Stock | 8,100 | $13.33 | D | |
Restricted Stock Units | 01/03/2007(4) | 01/03/2009 | Common Stock | 6,750 | (7) | D | |
Restricted Stock Units | 12/05/2006(5) | 12/05/2009 | Common Stock | 8,100 | (7) | D | |
Restricted Stock Units | 12/11/2007(6) | 12/11/2010 | Common Stock | 10,800 | (7) | D |
Explanation of Responses: |
1. Shares held in the Reporting Person's name by the Issuer's 401(k) plan. |
2. Includes 2,497 shares acquired pursuant to the CV Therapeutics, Inc. Employee Stock Purchase Plan ("ESPP"). |
3. The option was fully vested on June 1, 2007. |
4. 1/48th of the restricted stock units shall vest in equal monthly installments on the last day of each calendar month following the January 3, 2005 date of grant (rounding up to the nearest whole restricted stock unit), assuming continued service relationship, such that 100% of the restricted stock units are vested on January 3, 2009, subject to accelerated vesting upon the attainment of certain performance targets. Distribution of vested shares of common stock will occur on the two (2)-year, three (3)-year and four (4)-year anniversaries of the January 3, 2005 date of grant, without regard to whether the Reporting Person is employed on such distribution date. |
5. 1/48th of the restricted stock units shall vest on the 5th day of each calendar month following the December 5, 2005 date of grant (rounding up to the nearest whole restricted stock unit), assuming continued service relationship, such that 100% of the restricted stock units are vested on December 5, 2009; shares of common stock subject to any restricted stock units that vest will be paid to the Reporting Person in whole shares of common stock on each of the twelve (12), twenty-four (24), thirty-six (36) and forty-eight (48) month anniversaries of the December 5, 2005 date of grant, without regard to whether the Reporting Person is employed on such distribution date. |
6. 1/48th of the restricted stock units shall vest on the 11th day of each calendar month following the December 11, 2006 date of grant (rounding up to the nearest whole restricted stock unit), assuming continued service relationship, such that 100% of the restricted stock units are vested on December 11, 2010; shares of common stock subject to any restricted stock units that vest will be paid to the Reporting Person in whole shares of common stock on each of the twelve (12), twenty-four (24), thirty-six (36) and forty-eight (48) month anniversaries of the December 11, 2006 date of grant, without regard to whether the Reporting Person is employed on such distribution date. |
7. Upon payout, the Reporting Person is entitled to receive one (1) share of common stock for each one (1) restricted stock unit. |
/s/ Lewis J. Stuart | 07/16/2007 | |
** 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 5 (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. |