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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 | ||||||||
Employee Stock Option (right to buy) | $ 60.66 | 01/27/2011 | M | 50 | (1) | 09/14/2017 | Common Stock | 50 | $ 0 | 101 | D | ||||
Employee Stock Option (right to buy) | $ 20.55 | 01/27/2011 | M | 3,134 | (2) | 06/28/2014 | Common Stock | 3,134 | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 61.45 | 01/27/2011 | M | 312 | (3) | 08/15/2017 | Common Stock | 312 | $ 0 | 623 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Grazewski Paul AMERICAN SCIENCE AND ENGINEERING, INC. 829 MIDDLESEX TURNPIKE BILLERICA, MA 01821 |
SVP |
M. Colette Cooke | 01/31/2011 | |
**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) | On September 14, 2007, the reporting person was granted an option to purchase 151 shares of common stock. The option vested in 3 equal increments based upon satisfaction of certain performance criteria for each of the fiscal years ending March 31, 2008, 2009, and 2010. The performance criteria were met, resulting in vesting of the option as to 151 shares. |
(2) | On June 28, 2004, the reporting person was granted an option to purchase 13,257 shares of common stock which vested as follows: 5716 shares on June 28, 2005; 4407 shares on June 28, 2006 and 3134 shares on June 28, 2007. |
(3) | On August 15, 2007, the reporting person was granted an option to purchase 935 shares of common stock. The option vested in 3 equal increments based upon satisfaction of certain performance criteria for each of the fiscal years ending March 31, 2008, 2009, and 2010. The performance criteria were met, resulting in vesting of the option as to 935 shares. |
(4) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 5, 2010. |