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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock Units | (2) | 01/29/2019 | 01/30/2019 | A | 615.074 | (3) | (3) | Common Stock | 615.074 | $ 46.54 | 9,685.9 | D | |||
Restricted Stock Units | (1) | 01/30/2019 | M | 2,946 | 04/30/2018(4) | (4) | Common Stock | 2,946 | (1) | 23,573 | D | ||||
Performance-Based Stock Units | (5) | 01/30/2019 | A | 259,957 | 01/31/2022(6) | (6) | Common Stock | 259,957 | (5) | 259,957 | D | ||||
Performance-Based Stock Units | (5) | 01/30/2019 | A | 12,579 | 01/31/2022(6) | (6) | Common Stock | 12,579 | (5) | 12,579 | D | ||||
Restricted Stock Units | (1) | 01/30/2019 | A | 64,990 | 04/30/2019(7) | (7) | Common Stock | 64,990 | (1) | 64,990 | D | ||||
Restricted Stock Units | (1) | 01/30/2019 | A | 12,579 | 04/30/2019(7) | (7) | Common Stock | 12,579 | (1) | 12,579 | D | ||||
Phantom Stock Units | (2) | 01/31/2019 | A | 79.447 | (3) | (3) | Common Stock | 79.447 | $ 47.12 | 9,765.347 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SWAN ROBERT HOLMES 2200 MISSION COLLEGE BLVD. SANTA CLARA, CA 95054 |
X | CEO |
/s/ Brian Petirs, attorney-in-fact | 02/01/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each restricted stock unit represents the right to receive, following vesting, one share of Intel Corporation common stock. |
(2) | Each phantom stock unit represents the right to receive the cash value of one share of Intel common stock. |
(3) | Phantom stock units are acquired under the Intel Sheltered Employee Retirement Plan Plus and are payable in cash following termination of the reporting person's employment. The reporting person may transfer the phantom stock units into an alternative investment account under the plan. |
(4) | Unless earlier forfeited under the terms of the RSU, 1/12th of the awards vest and convert into common stock in twelve substantially equal quarterly tranches, beginning on April 30, 2018. If the quarterly vesting date falls on a non-business date, the next business date shall apply. |
(5) | Each performance-based stock unit (PSU) represents the right to receive, following vesting, up to 200% of one share of Intel common stock. The number of shares of Intel common stock acquired upon vesting of the PSUs is contingent upon the achievement of pre-established performance metrics, as approved by the Company's Compensation Committee, over a three-year performance period beginning with the first day of the fiscal year of the grant date and ending on the last day of the fiscal year of the second anniversary of the grant date. |
(6) | Unless earlier forfeited under the terms of the PSU, each PSU vests and converts into no more than 200% of one share of Intel common stock on January 31, 2022, unless that date falls on a non-business date, in which case the next business date shall apply. |
(7) | Unless earlier forfeited under the terms of the RSU, 1/12th of the awards vest and convert into common stock in twelve substantially equal quarterly tranches, beginning on April 30, 2019. If the quarterly vesting date falls on a non-business date, the next business date shall apply. |