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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 | ||||||||
Non-qualified Stock Option (Right to Buy) | $ 160 | 10/12/2009 | A | 34,084 (3) | (4) | 10/12/2019 | Common Stock | 34,084 | $ 160 | 34,084 | D | ||||
Restricted Stock Units | $ 0 (5) | 10/12/2009 | A | 40,625 (6) | (7) | (7) | Common Stock | 40,625 | $ 0 | 40,625 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GILLETTE ROBERT J C/O FIRST SOLAR, INC. 350 WEST WASHINGTON STREET, SUITE 600 TEMPE, AZ 85281-1244 |
X | CEO |
/s/ Peter C. Bartolino, Attorney-in-fact | 10/14/2009 | |
**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) | Represents shares of common stock issued pursuant to the Reporting Person's Employment Agreement. |
(2) | Represents shares of common stock withheld by the Issuer to satisfy certain tax withholding obligations associated with the grant of common stock. |
(3) | Represents non-qualifed stock options issued pursuant to the Reporting Person's Employment Agreement. |
(4) | The options were vested as of the grant date as per the terms of the Reporting Person's Employment Agreement. |
(5) | Each restricted stock unit represents the right to receive, upon vesting, one share of the Issuer's common stock. |
(6) | Represents restricted stock units issued pursuant to the Reporting Person's Employment Agreement. |
(7) | The restricted stock units are scheduled to vest 100% on October 12, 2011. |