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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 | ||||||||
Restricted Stock Units | (5) | 06/10/2010 | M | 334 | (6) | (6) | Bio-Rad B Common Stock | 334 | $ 0 | 1,336 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCHWARTZ DAVID C/O BIO-RAD LABORATORIES, INC. 1000 ALFRED NOBEL DRIVE HERCULES, CA 94547 |
X | X | Chairman of the Board |
David Schwartz | 06/14/2010 | |
**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) | In addition to the reported transaction, the following non-reportable transactions are reflected in the Amount of Securities Beneficially Owned Following Reported Transactions (Column 5): (1) on July 24, 2009, the reporting person and the reporting person's spouse each transferred 825,208 shares to an independent trustee of separate GRATS for the respective benefit of the grantors for estate planning purposes and, (2) on April 29, 2010, the reporting person and the reporting person's spouse each received 90,661 Class A shares as a distribution from their separate 2008 GRATs to their direct beneficial holdings. |
(2) | Shares of Class B common stock acquired on the vesting of restricted stock units. |
(3) | The shares are held by a limited partnership of which the reporting person is a limited and general partner. |
(4) | The shares are held by a limited partnership of which the reporting person is a general partner. |
(5) | Each restricted stock unit represents a contingent right to receive one share of Bio-Rad Class B common stock. |
(6) | The restriced stock units vest in five equal annual installments beginning June 10, 2010. |