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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Clarient, Inc. (MM) | NASDAQ:CLRT | 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% | 4.99 | 0 | 01:00:00 |
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
|
OMB APPROVAL
OMB Number: 3235-0287 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
SLATTERY FRANK P JR |
2. Issuer Name
and
Ticker or Trading Symbol
CLARIENT, INC [ CLRT ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__ X __ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
31 COLUMBIA |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
ALISO VIEJO, CA 92656 |
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 | ||||||
Clarient common stock | 5/7/2007 | P | 7500 | A | $1.98 | 316859 | D | |||
Clarient common stock | 5/7/2010 | M | 35000 | A | $1.57 | 351859 | D | |||
Clarient common stock | 6/8/2010 | A | 10000 (4) | A | $0 | 361859 (5) | 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 | ||||||||
Clarient common stock options (right to buy) | $2.85 | 5/7/2010 | M | 35000 | (2) | 6/11/2010 | Clarient common stock | 35000 | $0 | 90000 | D | ||||
Clarient common stock options (right to buy) | $2.81 | 6/8/2010 | A | 15000 | (1) | 6/8/2020 | Clarient common stock options (right to buy) | 15000 | $2.81 | 105000 (3) | D |
Explanation of Responses: | |
( 1) | 25% of options vest on June 30, 2010, and quarterly thereafter over 3 quarters (beginning with the quarter ended September 30, 2010). |
( 2) | 25% of options vest on June 11, 2003, and quarterly thereafter over 3 quarters (beginning with the quarter ended September 30, 20003). |
( 3) | This amendment is being filed to correct the number of derivative securities reported in Box 9. The Form 4 filed on June 9, 2010 inadvertently included 35,000 shares underlying the option, which were previously exercised on May 7, 2010. |
( 4) | 10,000 restricted stock awards cliff vest on June 30, 2011. |
( 5) | This amendment amends each of the Form 4s filed by the reporting person from and including May 7, 2007 to correct the amount of securities beneficially owned, as reported in Table I, Box 5. This amendment is being filed to report the purchase of 7,500 shares on 5/7/2007, as reflected in Table I, as well as the exercise of 35,000 options on 5/7/2010. Form 4s filed by the reporting person from March 12, 2010 until June 8, 2010 underreported the total amount of securities held by the reporting person by 42,500 shares. Additionally, due to a mathematical error, the amount of securities in Table I, Box 5 for the Form 4 filed on 3/15/2010 (as well as subsequent filings) underreported the total securities held by the reporting person by 14,500 shares. |
Reporting Owners
|
|||||
Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
SLATTERY FRANK P JR
31 COLUMBIA ALISO VIEJO, CA 92656 |
X |
|
|
|
Signatures
|
||
Daniel Dendinger, agent for Frank P. Slattery, Jr. | 11/4/2010 | |
** 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. |
1 Year Clarient, Inc. (MM) Chart |
1 Month Clarient, Inc. (MM) Chart |
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