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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) | $ 29.56 | 04/10/2009 | D | 15,000 | (2) | 09/15/2013 | Common Stock | 15,000 | (3) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 32.39 | 04/10/2009 | D | 20,000 | (2) | 06/30/2014 | Common Stock | 20,000 | (4) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 38.84 | 04/10/2009 | D | 30,000 | (5) | 05/27/2015 | Common Stock | 30,000 | (6) | 0 | D | ||||
Restricted Stock Units | (7) | 04/10/2009 | A | 3,125 | (8) | (9) | Common Stock | 3,125 | (3) | 18,711 | D | ||||
Restricted Stock Units | (7) | 04/10/2009 | A | 4,651 | (8) | (9) | Common Stock | 4,651 | (4) | 23,362 | D | ||||
Restricted Stock Units | (7) | 04/10/2009 | A | 7,317 | (10) | (9) | Common Stock | 7,317 | (6) | 30,679 | D | ||||
Restricted Stock Units | (7) | 04/10/2009 | A | 7,894 | (10) | (9) | Common Stock | 7,894 | (11) | 38,573 | D | ||||
Restricted Stock Units | (7) | 04/10/2009 | A | 6,451 | (12) | (9) | Common Stock | 6,451 | (13) | 45,024 | D | ||||
Restricted Stock Units | (7) | 04/10/2010 | M | 7,776 | (8) | (9) | Common Stock | 7,776 | $ 0 | 32,248 | D | ||||
Restricted Stock Units | (7) | 04/10/2010 | M | 7,605 | (10) | (9) | Common Stock | 7,605 | $ 0 | 24,643 | D | ||||
Restricted Stock Units | (7) | 04/10/2010 | M | 2,150 | (12) | (9) | Common Stock | 2,150 | $ 0 | 22,493 | D | ||||
Stock Settled Stock Appreciation Right (SSAR) | $ 34.89 | 04/10/2009 | D | 20,000 | (14) | 03/27/2017 | Common Stock | 20,000 | (11) | 0 | D | ||||
Stock Settled Stock Appreciation Right (SSAR) | $ 40.44 | 04/10/2009 | D | 30,000 | (15) | 03/15/2016 | Common Stock | 30,000 | (13) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JAFFE SETH 3250 VAN NESS AVENUE SAN FRANCISCO, CA 94109 |
SVP - GENERAL COUNSEL |
By: Attorney in Fact, Laurel Pies For: Seth R. Jaffe | 04/21/2010 | |
**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 the number of shares withheld upon vesting of restricted stock units to cover tax withholding obligations. |
(2) | The cancelled option was fully vested. |
(3) | On April 10, 2009, the Issuer cancelled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on September 15, 2003. In connection with the exchange, the reporting person received one restricted stock unit for every 4.8 exchanged options, subject to rounding. |
(4) | On April 10, 2009, the Issuer cancelled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on June 30, 2004. In connection with the exchange, the reporting person received one restricted stock unit for every 4.3 exchanged options, subject to rounding. |
(5) | The cancelled option provided for vesting in five equal annual installments beginning on May 27, 2006. |
(6) | On April 10, 2009, the Issuer cancelled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on May 27, 2005. In connection with the exchange, the reporting person received one restricted stock unit for every 4.1 exchanged options, subject to rounding. |
(7) | Each restricted stock unit represents a contingent right to receive one share of WSM common stock. |
(8) | The restricted stock units vest on April 10, 2010. |
(9) | Not applicable. |
(10) | The restricted stock units vest in two equal annual installments beginning on April 10, 2010. |
(11) | On April 10, 2009, the Issuer cancelled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on March 15, 2006. In connection with the exchange, the reporting person received one restricted stock unit for every 3.8 exchanged stock settled appreciation rights, subject to rounding. |
(12) | The restricted stock units vest in three equal annual installments beginning on April 10, 2010. |
(13) | On April 10, 2009, the Issuer cancelled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on March 27, 2007. In connection with the exchange, the reporting person received one restricted stock unit for every 3.1 exchanged stock settled appreciation rights, subject to rounding. |
(14) | The cancelled stock settled stock appreciation rights provided for vesting in five equal annual installments beginning on March 27, 2008. |
(15) | The cancelled stock settled stock appreciation rights provided for vesting in five equal annual installments beginning on March 15, 2007. |