-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Rl0emrsQh2N+z5C/S8VN5SjSsWKa1EtsAk4owmkf3qqdFoka31E8HAs+vci5hllu J5DWX5D0yYasfQY6Byr5ww== 0001012870-02-000709.txt : 20020414 0001012870-02-000709.hdr.sgml : 20020414 ACCESSION NUMBER: 0001012870-02-000709 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020214 COMPANY DATA: COMPANY CONFORMED NAME: CUTTS JOSEPH CENTRAL INDEX KEY: 0001116234 OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 303 VELOCITY WAY CITY: FOSTER CITY STATE: CA ZIP: 94404 BUSINESS PHONE: 6503573910 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ELECTRONICS FOR IMAGING INC CENTRAL INDEX KEY: 0000867374 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 943086355 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18805 FILM NUMBER: 02550037 BUSINESS ADDRESS: STREET 1: 303 VELOCITY WAY CITY: FOSTER CITY STATE: CA ZIP: 94404 BUSINESS PHONE: 6503573500 MAIL ADDRESS: STREET 1: 303 VELOCITY WAY CITY: FOSTER CITY STATE: CA ZIP: 94404 5 1 d5.txt FORM 5 FOR JOSEPH CUTTS /------------------------------/ / OMB APPROVAL / /------------------------------/ / OMB Number: 3235-0362 / / Expires: September 30, 1998 / / Estimated average burden / / hours per response...... 1.0 / /------------------------------/ +--------+ UNITED STATES | FORM 5 | SECURITIES AND EXCHANGE COMMISSION +--------+ Washington, D.C. 20549 [_] Check this box if no longer subject ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP to Section 16. Form 4 or Form 5 Filed pursuant to Section 16(a) of the Securities obligations may Exchange Act of 1934, Section 17(a) of the continue. See Public Utility Holding Company Act of 1935 or Instruction 1(b). Section 30(f) of the Investment Company Act of 1940 [_] Form 3 Holdings Reported [_] Form 4 Transactions Reported - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Cutts Joseph ---------------------------------------------------------------------------- (Last) (First) (Middle) 303 Velocity Way ---------------------------------------------------------------------------- (Street) Foster City, CA 94404 ---------------------------------------------------------------------------- (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Electronics For Imaging, Inc.(EFII) ----------------------------------- 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) -------------- 4. Statement for Month/Year December 31, 2001 --------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) -------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [X] Officer [ ] 10% Owner [ ] Other (give title below) (specify below) Chief Financial Officer ----------------------- 7. Individual or Joint/Group Reporting (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 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature (Instr. 3) action action or Disposed of (D) Securities ship of In- Date Code (Instr. 3, 4 and 5) Beneficially Form: direct (Month/ (Instr. 8) Owned at the Direct Bene- Day/ end of (D) or ficial Year) Issuer's Indirect Owner- (A) or Fiscal Year (I) ship Amount (D) Price (Instr. 3 and 4) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 1,505 n - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
* If the form is filed by more than one reporting person, see instruction 4(b)(v). Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. Page 1 of 3 pages Form 5 (continued) Table II--Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
- ----------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of Deriv- Security (Instr. 3) sion or action action Code ative Securities Exercise Date (Instr. 8) Acquired (A) or Price of (Month/ Disposed of (D) Deriv- Day/ (Instr. 3, 4, and 5) ative Year) Security --------------------------- (A) (D) - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- Stock Option (right to buy) $13.7500 - ----------------------------------------------------------------------------------------------------------------------------- Stock Option (right to buy) $15.6406 - ----------------------------------------------------------------------------------------------------------------------------- Stock Option (right to buy) $33.8125 - ----------------------------------------------------------------------------------------------------------------------------- Stock Option (right to buy) $36.1875 - ----------------------------------------------------------------------------------------------------------------------------- Stock Option (right to buy) $38.7500 - ----------------------------------------------------------------------------------------------------------------------------- Stock Option (right to buy) $45.1900 10/12/01 J (1) 45,000 - ----------------------------------------------------------------------------------------------------------------------------- Stock Option (right to buy) $47.2500 - -----------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------ 6. Date Exer- 7. Title and Amount of 8. Price 9. Number 10. Owner- 11. Na- cisable and Underlying Securities of of Deriv- ship ture Expiration (Instr. 3 and 4) Deriv- ative of De- of In- Date ative Secur- rivative direct (Month/Day/ Secur- ities Secur- Bene- Year) ity Bene- ity: ficial (Instr. 5) ficially Direct Owner- ---------------------------------------------- Owned (D) or ship Date Expira- Amount or at End Indi- (Instr. 4) Exer- tion Title Number of of Year rect (1) cisable Date Shares (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 01/03/11 Common Stock 75,000 75,000 D - ------------------------------------------------------------------------------------------------------------------------------------ 01/22/08 Common Stock 3,750 3,750 D - ------------------------------------------------------------------------------------------------------------------------------------ 03/23/09 Common Stock 22,500 22,500 D - ------------------------------------------------------------------------------------------------------------------------------------ 10/20/09 Common Stock 6,000 6,000 D - ------------------------------------------------------------------------------------------------------------------------------------ 03/03/07 Common Stock 7,500 7,500 D - ------------------------------------------------------------------------------------------------------------------------------------ 01/31/10 Common Stock 45,000 0 D - ------------------------------------------------------------------------------------------------------------------------------------ 07/01/07 Common Stock 4,100 4,100 D - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: See continuation page(s) for footnotes /s/ Joseph Cutts 2/14/2002 -------------------------------- ----------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 of 3 pages Cutts, Joseph Electronic for Imaging, Inc. (EFII) 303 Velocity Way December 31, 2001 Foster City, CA 94404 (1) Option(s) cancelled 100% pursuant to Options Exchange Program, whereas, the number of shares of common stock subject to each new option will be equal to two-thirds the number of shares of common stock subject to the tendered options. Page 3 of 3 pages -----END PRIVACY-ENHANCED MESSAGE-----