Statement of Changes in Beneficial Ownership (4)
November 12 2019 - 4:40PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
SWAN ROBERT HOLMES |
2. Issuer Name and Ticker or Trading Symbol
INTEL CORP
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INTC
]
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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) CEO |
(Last)
(First)
(Middle)
C/O INTEL CORPORATION, 2200 MISSION COLLEGE BLVD. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/8/2019 |
(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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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) | 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 |
Phantom Stock Units | (1) | 11/8/2019 | | I (2) | | | 18201.527 (2) | (3) | (3) | Common Stock | 18201.527 | $58.27 | 0 | D | |
Explanation of Responses: |
(1) | Each phantom stock unit represents the right to receive the cash value of one share of Intel common stock. |
(2) | The Intel common stock investment option, which represents a hypothetical investment in Intel common stock under the Intel Corporation Sheltered Employee Retirement Plan Plus (the "Plan"), Intel's deferred compensation plan, was closed for all participants, effective November 8, 2019. The reporting person was required to transfer all amounts allocated to the Intel common stock investment option into another investment option under the Plan. Accordingly, on November 8, 2019, the reporting person's balance in the Intel common stock investment option was automatically transferred to a default investment option as reported in this Form 4. For the avoidance of doubt, the reporting person is reporting this disposition, which was approved in advance by the Compensation Committee of Intel's Board of Directors, as a discretionary transaction. |
(3) | Phantom stock units acquired under the Plan were payable in cash following termination of the reporting person's employment or could be transferred into an alternative investment account under the Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SWAN ROBERT HOLMES C/O INTEL CORPORATION 2200 MISSION COLLEGE BLVD. SANTA CLARA, CA 95054 | X |
| CEO |
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Signatures
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/s/ Brian Petirs, attorney-in-fact | | 11/12/2019 |
**Signature of Reporting Person | Date |
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