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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 | ||||||||
Options to Buy | $ 40.64 | 01/20/2014 | A | 4,250 | 01/20/2015(2) | 01/20/2024 | Common Stock | 4,250 | (2) | 4,250 | D | ||||
Restricted Stock Units | (3) | 01/20/2014 | A | 9,000 | (3) | (3) | Common Stock | 9,000 | (3) | 9,000 | D | ||||
Performance Stock Units | (4) | 01/20/2014 | A | 5,000 | (4) | (4) | Common Stock | 5,000 | (4) | 5,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Frisch Steven J. ONE PLEXUS WAY NEENAH, WI 54956 |
Exec VP-Global Customer Serv. |
Steven J. Frisch, by Mary J. Bathke, Attorney-in-Fact | 01/22/2014 | |
**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) | Shares of Plexus Corp. common stock held in the Plexus Corp. 401(k) Savings Plan as of the last report from the Plan's trustee. |
(2) | Options granted under the Plexus Corp. 2008 Long-Term Incentive Plan, which qualifes under Rule 16b-3; one half vests each year, commencing on the first anniversary of grant. |
(3) | Each Restricted Stock Unit granted under the Plexus Corp. 2008 Long-Term Incentive Plan, which qualifies under Rule 16b-3, represents a contingent right to receive one share of Plexus Corp. common stock. The Restricted Stock Units vest on January 20, 2017. |
(4) | Each Performance Stock Unit granted under the Plexus Corp. 2008 Long-Term Incentive Plan, which qualifies under Rule 16b-3, represents a contingent right to receive one share of Plexus Corp. common stock if certain conditions are satisfied. Vesting of the Performance Stock Units is dependent on the relative total shareholder return ("TSR") of Plexus Corp.'s common stock during a three-year performance period (fiscal 2014 through fiscal 2016) as compared to the Russell 3000 Index. The target number of Performance Stock Units that may be earned is reported above; the maximum amount is 200% of the number reported. |