0000855658-17-000113.txt : 20171106 0000855658-17-000113.hdr.sgml : 20171106 20171106150431 ACCESSION NUMBER: 0000855658-17-000113 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171018 FILED AS OF DATE: 20171106 DATE AS OF CHANGE: 20171106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Billerbeck Darin G CENTRAL INDEX KEY: 0001388177 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-18032 FILM NUMBER: 171179280 MAIL ADDRESS: STREET 1: C/O LATTICE SEMICONDUCTOR CORP STREET 2: 5555 NE MOORE CT CITY: HILLSBORO STATE: OR ZIP: 97124 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LATTICE SEMICONDUCTOR CORP CENTRAL INDEX KEY: 0000855658 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 930835214 STATE OF INCORPORATION: DE FISCAL YEAR END: 0102 BUSINESS ADDRESS: STREET 1: 111 SW 5TH AVE., SUITE 700 CITY: PORTLAND STATE: OR ZIP: 97204 BUSINESS PHONE: 5032688000 MAIL ADDRESS: STREET 1: 111 SW 5TH AVE., SUITE 700 CITY: PORTLAND STATE: OR ZIP: 97204 4/A 1 edgardoc.xml PRIMARY DOCUMENT X0306 4/A 2017-10-18 2017-10-20 0 0000855658 LATTICE SEMICONDUCTOR CORP LSCC 0001388177 Billerbeck Darin G 5555 N.E. MOORE CT. HILLSBORO OR 97124 1 1 0 0 President & CEO Common Stock 2017-10-18 4 M 0 574600 4.86 A 1018111 D Common Stock 2017-10-18 4 F 0 531807 5.73 D 486304 D Non-Qualified Stock Option (right to buy) 4.86 2017-10-18 4 M 0 574600 0.0 D 2011-11-08 2017-11-08 Common Stock 574600 0 D Non-Qualified Stock Option (right to buy) 5.73 2017-10-18 4 A 0 256500 0.0 A 2018-01-18 2024-10-18 Common Stock 256500 256500 D Performance Non-Qualified Stock Option (right to buy) 5.73 2017-10-18 4 A 0 177900 0.0 A 2019-10-18 2024-10-18 Common Stock 177900 177900 D Restricted Stock Unit (RSU) 0.0 2017-10-18 4 A 0 210300 0.0 A 2018-10-18 Common Stock 210300 398912 D These shares were retained by the Issuer in order to meet the aggregate exercise price and tax withholding obligations of the Reporting Person in connection with the exercise of stock options that were scheduled to expire on November 8, 2017. The amount retained by the Issuer was not in excess of the amount of the tax liability. The Reporting Person retained the net shares obtained on the exercise. This option to purchase shares of common stock vested as follows: 25% of the total amount of shares subject to the option vested on 11/8/2011. 6.25% of the total amount of the shares subject to the option vested in each of the three months thereafter until all shares vested on 11/8/2014. This option to purchase shares of common stock becomes exercisable over a three and half year period where in 1/14th of the total shares granted vest on each quarterly anniversary of the grant date. Grants of Performance Options vest as follows: 100% on the second anniversary of the grant date upon achievement of the performance conditions. Each Restricted Stock Unit (RSU) represents a right to receive one share of the Issuers common shares without payment of specific consideration. This grant of Restricted Stock Units (RSUs) vest as follows: 25% of the RSUs will vest upon the one-year anniversary of the grant date and an additional 7.5% of the RSUs vest each three months thereafter until 100% of the RSU grant is vested. Not applicable. By: Byron W. Milstead, Attorney-in-Fact For: Darin G. Billerbeck 2017-11-06