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AFFX Affymetrix, Inc.

14.01
0.00 (0.00%)
26 Apr 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Affymetrix, Inc. NASDAQ:AFFX NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 14.01 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

01/04/2016 10:46pm

Edgar (US Regulatory)


FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Weber David A
2. Issuer Name and Ticker or Trading Symbol

AFFYMETRIX INC [ AFFX ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
EVP, Chief Commercial Officer
(Last)          (First)          (Middle)

C/O AFFYMETRIX, INC., 3420 CENTRAL EXPRESSWAY
3. Date of Earliest Transaction (MM/DD/YYYY)

3/31/2016
(Street)

SANTA CLARA, CA 95051
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. 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
Common Stock   3/31/2016     D    141605   (1) D   (2) 0   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. 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 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 of Derivative Security: 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
Stock Option (right to buy)   $3.86   3/31/2016     D         69429      (2)   (2) Common Stock   69429     (2) 0   D    
Stock Option (right to buy)   $3.84   3/31/2016     D         50000      (2)   (2) Common Stock   50000     (2) 0   D    
Stock Option (right to buy)   $7.55   3/31/2016     D         35000      (2)   (2) Common Stock   35000     (2) 0   D    
Stock Option (right to buy)   $11.88   3/31/2016     D         26100      (2)   (2) Common Stock   26100     (2) 0   D    
Performance RSUs   $0   3/31/2016     D         25072      (2)   (2) Common Stock   25072     (2) 0   D    

Explanation of Responses:
( 1)  Includes 304 shares purchased by Mr. Weber through our Employee Stock Purchase Plan on March 14, 2016.
( 2)  Pursuant to the Agreement and Plan of Merger dated as of January 8, 2016 by and among Affymetrix, Inc. ("Affymetrix"), Thermo Fisher Scientific Inc. ("Thermo Fisher") and White Birch Merger Co. (the "Merger Agreement"), (x) each outstanding share of common stock of Affymetrix was cancelled and converted into the right to receive $14.00 in cash; (y) each vested stock option was cancelled and converted into the right to receive a cash payment per share equal to the excess, if any, of $14.00 over the exercise price; and (z) each unvested stock option and RSU (including PRSUs at target), whether vested or unvested, was assumed by Thermo Fisher and converted into the right to receive a cash payment per share equal to the excess, if any, of $14.00 over the exercise price, as applicable.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Weber David A
C/O AFFYMETRIX, INC.
3420 CENTRAL EXPRESSWAY
SANTA CLARA, CA 95051


EVP, Chief Commercial Officer

Signatures
/s/ Siang H. Chin, Attorney-in-Fact for David Weber 4/1/2016
** 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 control number.

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