- Statement of Changes in Beneficial Ownership (4)
01 Décembre 2011 - 1:21AM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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November 30, 2011
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Cortes Roland Benjamin
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2. Issuer Name
and
Ticker or Trading Symbol
NETLOGIC MICROSYSTEMS INC
[
NETL
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
VP, General Counsel
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(Last)
(First)
(Middle)
3975 FREEDOM CIRCLE, 9TH FLOOR
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/28/2011
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(Street)
SANTA CLARA, CA 95054
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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11/28/2011
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M
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1
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A
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$9.915
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60283
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D
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Common Stock
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11/28/2011
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M
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2431
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A
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$11.97
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62714
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D
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Common Stock
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11/28/2011
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M
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4860
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A
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$15.145
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67574
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D
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Common Stock
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11/28/2011
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M
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11550
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A
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$13.93
(1)
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79124
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D
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Common Stock
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11/28/2011
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S
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18842
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D
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$49.3808
(2)
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60282
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D
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Common Stock
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11/30/2011
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M
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1155
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A
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$13.93
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61437
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D
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Common Stock
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11/30/2011
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S
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1155
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D
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$49.372
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60282
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (right to buy)
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$9.915
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11/28/2011
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M
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1
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10/31/2007
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10/30/2016
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Common Shares
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1
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$
0
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0
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D
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Stock Option (right to buy)
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$11.97
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11/28/2011
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M
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2431
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1/30/2008
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1/29/2017
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Common Shares
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2431
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$
0
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0
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D
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Stock Option (right to buy)
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$15.145
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11/28/2011
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M
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4860
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6/5/2017
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6/4/2017
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Common Shares
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4860
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$
0
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0
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D
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Stock Option (right to buy)
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$13.93
(1)
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11/28/2011
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M
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11550
(1)
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1/31/2011
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1/6/2018
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Common Shares
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13860
(1)
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$
0
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2310
(1)
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D
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Stock Option (right to buy)
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$13.93
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11/30/2011
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M
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1155
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1/31/2011
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1/6/2018
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Common Shares
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2310
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$
0
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1155
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D
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Explanation of Responses:
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(
1)
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On February 16, 2010, NetLogic Microsystems Inc. declared a stock dividend, payable to all holders of record of common stock on March 5, 2010, of one share of common stock for each share of common stock outstanding. As a result, and pursuant to anti-dilution provisions of NetLogic Microsystems' equity incentive plans, this option which was previously reported as an option for 6,930 shares of common stock at an exercise price of $27.86 per share, was adjusted to 13,860 shares of common stock at an exercise price of $13.93 share.
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(
2)
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The shares sold on this date were sold in multiple transactions. This price is the weighted average sales price per share of all shares sold on this date; the actual sale prices per share range from $49.38 to $49.385. The number of shares sold at each separate price will be provided upon request by the Securities and Exchange Commission, NetLogic Microsystems, or a security holder of NetLogic Microsystems.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Cortes Roland Benjamin
3975 FREEDOM CIRCLE
9TH FLOOR
SANTA CLARA, CA 95054
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VP, General Counsel
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Signatures
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/s/ Roland B. Cortes
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11/30/2011
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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