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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 | $ 0 (5) | 09/10/2016 | M | 600 | (6) | (6) | Bio-Rad A Common Stock | 600 | $ 0 | 1,800 | D | ||||
Restricted Stock Units | $ 0 (5) | 09/11/2016 | M | 700 | (7) | (7) | Bio-Rad A Common Stock | 700 | $ 0 | 1,400 | D | ||||
Restricted Stock Units | $ 0 (5) | 09/11/2016 | M | 600 | (8) | (8) | Bio-Rad A Common Stock | 600 | $ 0 | 2,400 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HERTIA JOHN C/O BIO-RAD LABORATORIES, INC. 1000 ALFRED NOBEL DRIVE HERCULES, CA 94547 |
Executive Vice President |
John Hertia | 09/13/2016 | |
**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) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $158.55 to $158.63, inclusive. The reporting person undertakes to provide to Bio-Rad Laboratories, Inc., any security holder of Bio-Rad Laboratories, Inc., or the staff of the Securites and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(2) | Shares of Class A common stock acquired on the vesting of restricted stock units. |
(3) | Sold by the Issuer on behalf of the Reporting Person to satisfy certain tax obligations in connection with the vesting of restricted stock units, all in accordance with a restricted stock unit award agreement. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $155.0164 to $155.0314, inclusive. The reporting person undertakes to provide to Bio-Rad Laboratories, Inc., any security holder of Bio-Rad Laboratories, Inc., or the staff of the Securites and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(5) | Each restricted stock unit represents a contingent right to receive one share of Bio-Rad Class A common stock. |
(6) | The restricted stock units vest in five equal annual installments beginning September 10, 2015. |
(7) | The restricted stock units vest in five equal annual installments beginning September 11, 2014. |
(8) | The restricted stock units vest in five equal annual installments beginning September 11, 2016. |