Statement of Changes in Beneficial Ownership (4)
June 29 2017 - 6:24PM
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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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
GECHT GUY
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2. Issuer Name
and
Ticker or Trading Symbol
ELECTRONICS FOR IMAGING INC
[
EFII
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Executive Officer
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(Last)
(First)
(Middle)
6750 DUMBARTON CIRCLE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
6/27/2017
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(Street)
FREMONT, CA 94555
(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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6/27/2017
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M
(1)
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13000
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A
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$11.40
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392648
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D
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Common Stock
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6/27/2017
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F
(2)
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3144
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D
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$47.15
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389504
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D
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Common Stock
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6/27/2017
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F
(3)
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5144
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D
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$47.15
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384360
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D
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Common Stock
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6/27/2017
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S
(4)
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9000
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D
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$47.39
(5)
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375360
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D
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Common Stock
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6/28/2017
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S
(4)
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1600
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D
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$47.35
(6)
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373760
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D
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Common Stock
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6/28/2017
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S
(4)
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3112
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D
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$48.20
(7)
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370648
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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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Option Right to Buy
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$11.40
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6/27/2017
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M
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13000
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(8)
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8/20/2017
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Common Stock
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13000
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$0.00
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13000
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D
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Explanation of Responses:
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(1)
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The acquisition of these shares, exercise of the underlying stock options (which will expire on August 20, 2017), and the sale of the shares were effected pursuant to a Rule 10b5-1 plan entered into by the reporting person on August 31, 2016 (the "Rule 10b5-1 Plan") that calls for sales on pre-determined dates.
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(2)
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Represents shares of common stock withheld by the issuer in payment by the reporting person of the exercise price. This transaction is exempt under Rule 16b-3(e).
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(3)
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Represents shares of common stock withheld by the issuer for tax purposes upon the exercise of stock options by the reporting person. This transaction is exempt under Rule 16b-3(e).
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(4)
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The sale of the shares was done pursuant to the Rule 10b5-1 Plan.
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(5)
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This transaction was executed in multiple trades ranging from $47.14 to $47.83. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
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(6)
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This transaction was executed in multiple trades ranging from $46.79 to $47.78. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
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(7)
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This transaction was executed in multiple trades ranging from $47.80 to $48.59. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
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(8)
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This stock option award, which will expire on August 20, 2017, was granted on August 20, 2010, and vested and became exercisable with respect to 25% of the award on the first anniversary of the date of grant and thereafter with respect to an additional 2.5% of the award each month, with full vesting in 42 months.
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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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GECHT GUY
6750 DUMBARTON CIRCLE
FREMONT, CA 94555
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X
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Chief Executive Officer
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Signatures
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/s/ Guy Gecht
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6/29/2017
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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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