Amended Statement of Changes in Beneficial Ownership (4/a)
January 29 2021 - 6:41PM
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
*
Nygaard Jeffrey D. |
2. Issuer Name and Ticker or Trading Symbol
Seagate Technology plc
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STX
]
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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) Executive Vice President |
(Last)
(First)
(Middle)
SEAGATE TECHNOLOGY PLC, 47488 KATO ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/16/2020 |
(Street)
FREMONT, CA 94538
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
12/18/2020 |
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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Ordinary Shares | 12/16/2020 (1) | | M | | 10000 | A | $39.85 | 10000 | D | |
Ordinary Shares | 12/16/2020 | | S(1) | | 10000 (2) | D | $66 | 0 | D | |
Ordinary Shares | | | | | | | | 76875 (3) | I | Jeffrey D. Nygaard Revocable Trust U/A Dated August 17, 2009 |
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 |
NQ Stock Option | $39.85 | 12/16/2020 | | M | | | 10000 | 11/20/2018 (4) | 11/20/2024 | Ordinary Shares | 10000.0 | $0 | 61810 | D | |
Explanation of Responses: |
(1) | This amendment is being filed to correct errors regarding 1) the Transaction Date of Ordinary Shares reported as acquired upon the exercise of options and 2) the Transaction Code for the sale of Ordinary Shares in the original Form 4. |
(2) | The option exercise and sale of Ordinary Shares reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. |
(3) | On December 14, 2020, the Reporting Person transferred 21,644 Ordinary Shares previously owned directly to the Jeffrey D. Nygaard Revocable Trust U/A Dated August 17, 2009. |
(4) | Options granted to the Reporting Person under the Seagate Technology plc 2012 Equity Incentive Plan (the "Plan") are subject to a four-year vesting schedule. One quarter of the options vested on November 20, 2018. Subject to the Reporting Person's continuous employment, the remaining options vest in equal monthly installments over the 36 months following November 20, 2018. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Nygaard Jeffrey D. SEAGATE TECHNOLOGY PLC 47488 KATO ROAD FREMONT, CA 94538 |
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| Executive Vice President |
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Signatures
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/s/ Jamie Amentler, Attorney-in-Fact for Jeffrey D. Nygaard | | 1/29/2021 |
**Signature of Reporting Person | Date |
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