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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Genoptix, Inc. (MM) | NASDAQ:GXDX | 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% | 25.00 | 0 | 01:00:00 |
FORM 4
[
X
]
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
*
Kuhlen Christian V |
2. Issuer Name
and
Ticker or Trading Symbol
GENOPTIX INC [ GXDX ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) VP, Gen Counsel & Sec |
C/O GENOPTIX, INC., 1811 ASTON AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
CARLSBAD, CA 92008 |
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 | 3/7/2011 | D | 3283 (1) | D | $25 | 98 (2) | 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 | ||||||||
Employee Stock Option (right to buy) | $9.03 | 3/7/2011 | D | 3071 | (3) | 9/11/2017 | Common Stock | 3071 | $15.97 | 0 | D |
Explanation of Responses: | |
( 1) | Represents unvested RSUs outstanding immediately prior to the closing of the merger of GO Merger Sub, Inc. ("GO") with and into the Issuer on March 7, 2011 (the "Merger") pursuant to the Agreement and Plan of Merger, dated January 24, 2011 among the Issuer, GO and Novartis Finance Corporation (the "Merger Agreement") that were converted into an award of RSUs that is subject to the same terms and conditions as were applicable to the RSUs prior to the Merger, except that, upon the vesting of such awards the reporting person will be issued the number of shares of Novartis AG as traded on the NYSE pursuant to the formula set forth in the Merger Agreement. |
( 2) | Includes 98 shares acquired under the Genoptix employee stock purchase plan on March 4, 2011. |
( 3) | This option was terminated in the Merger and exchanged into the right to receive in cash the amount per share by which $25.00 exceeds the exercise price of the option, subject to any applicable tax withholdings. |
Reporting Owners
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Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
Kuhlen Christian V
C/O GENOPTIX, INC. 1811 ASTON AVENUE CARLSBAD, CA 92008 |
|
|
VP, Gen Counsel & Sec |
|
Signatures
|
||
/s/ Christian V. Kuhlen | 3/7/2011 | |
** 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 Genoptix, Inc. (MM) Chart |
1 Month Genoptix, Inc. (MM) Chart |
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