Amended Statement of Changes in Beneficial Ownership (4/a)
November 06 2020 - 02:16PM
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
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
| 1. Name
and Address of Reporting Person * LO PATRICK CS |
2. Issuer Name and Ticker or Trading
Symbol NETGEAR, INC. [ NTGR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
CEO |
|
(Last)
(First)
(Middle)
350 E. PLUMERIA DR. |
3. Date of Earliest Transaction (MM/DD/YYYY)
11/4/2020
|
|
(Street)
SAN JOSE, CA 95134
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
11/5/2020
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
Common Stock |
|
|
|
|
|
|
|
147668 |
I |
See footnote (1) |
|
Common Stock |
|
|
|
|
|
|
|
120048 |
I |
See footnote (2) |
|
Common Stock |
11/4/2020 (3) |
|
M(4) |
|
800 |
A |
$19.33 |
258840 |
D |
|
|
Common Stock |
11/4/2020 (3) |
|
M(4) |
|
800 |
D |
$32.72 (5) |
258040 |
D |
|
|
Common Stock |
11/4/2020 (3) |
|
M(4) |
|
1481 |
A |
$18.60 |
259521 |
D |
|
|
Common Stock |
11/4/2020 (3) |
|
M(4) |
|
1481 |
D |
$32.72 (5) |
258040 |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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 |
|
Employee Stock Option (Right to
Buy) |
$18.60 |
11/4/2020 (3) |
|
M (4) |
|
|
1481 |
(6) |
6/6/2022 |
Common Stock |
1481 |
$0.00 |
15749 |
D |
|
|
Employee Stock Option (Right to
Buy) |
$19.33 |
11/4/2020 (3) |
|
M (4) |
|
|
800 |
(7) |
5/16/2023 |
Common Stock |
800 |
$0.00 |
17890 |
D |
|
| Explanation of
Responses: |
| (1) |
The shares are held by the
education trusts of Mr. Lo's children. Mr. Lo is a co-trustee of
each such trust. |
| (2) |
The shares are held by the
Patrick and Emily Lo Revocable Trust dated 4-7-99 |
| (3) |
Date was amended from
previous filing. |
| (4) |
The exercise and sale
reported in this Form 4 were effected pursuant to a Rule 10b5-1
trading plan adopted by the reporting person on October 25,
2019. |
| (5) |
The price reported in Column
4 of Table 1 represents the weighted average sale price of the
shares sold. Upon request from the Commission staff, the Issuer, or
a security holders of the Issuer, the Reporting Person will provide
full information regarding the number of shares sold at each
separate price. |
| (6) |
25% of the option grant is
exercisable on 6/6/2013, and 1/48 of the option grant is
exercisable each month thereafter. |
| (7) |
25% of the option grant is
exercisable on 5/16/2014, and 1/48 of the option grant is
exercisable each month thereafter |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
LO PATRICK CS
350 E. PLUMERIA DR.
SAN JOSE, CA 95134 |
|
|
CEO |
|
Signatures
|
|
/s/ Andrew W. Kim, Attorney in
Fact |
|
11/6/2020 |
| **Signature of Reporting
Person |
Date |
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