FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
RADISYS CORP [ RSYS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 08/12/2008 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 08/12/2008 | M | 5,100 | A | $3.79 | 110,872 | D | |||
Common Stock | 08/12/2008 | S | 5,100 | D | $12.0263(1) | 105,772 | D | |||
Common Stock | 08/13/2008 | M | 31,400 | A | $3.79 | 137,172 | D | |||
Common Stock | 08/13/2008 | S | 31,400 | D | $11.9584(2) | 105,772 | D | |||
Common Stock | 08/14/2008 | M | 9,345 | A | $3.79 | 115,117 | D | |||
Common Stock | 08/14/2008 | S | 9,345 | D | $11.927(3) | 105,772 | D | |||
Common Stock | 08/14/2008 | M | 24,155 | A | $3.79 | 129,927 | D | |||
Common Stock | 08/14/2008 | S | 28,255 | D | $11.927(3) | 101,672 | D | |||
Common Stock | 08/14/2008 | A(4) | V | 797 | A | $8.92 | 102,469 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Incentive Stock Option (right to buy) | $3.79 | 08/14/2008 | M | 24,155 | 10/07/2003(5) | 10/07/2009 | Common Stock | 24,155 | $0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $3.79 | 08/12/2008 | M | 5,100 | 10/07/2003(5) | 10/07/2009 | Common Stock | 5,100 | $0 | 40,745 | D | ||||
Non-Qualified Stock Option (right to buy) | $3.79 | 08/13/2008 | M | 31,400 | 10/07/2003(5) | 10/07/2009 | Common Stock | 31,400 | $0 | 9,345 | D | ||||
Non-Qualified Stock Option (right to buy) | $3.79 | 08/14/2008 | M | 9,345 | 10/07/2003(5) | 10/07/2009 | Common Stock | 9,345 | $0 | 0 | D |
Explanation of Responses: |
1. The sales price reported is the weighted average sales price for the total shares sold. The range of actual sales prices includes 2,141 shares sold at $12.00, 260 shares sold at $12.01, 100 shares sold at $12.02, 2,499 shares sold at $12.05 and 100 shares sold at $12.06. |
2. The sales price reported is the weighted average sales price for the total shares sold. The range of actual sales prices includes 23,075 shares sold at $11.95, 200 shares sold at $11.955, 1,684 shares sold at $11.96, 2,242 shares sold at $11.97, 926 shares sold at $11.98, 169 shares sold at $11.99, 2,404 shares sold at $12.00, 400 shares sold at $12.01, 200 shares sold at $12.02 and 100 shares sold at $12.03. |
3. The sales price reported is the weighted average sales price for the total shares sold on August 14, 2008 which was 37,600 shares. The range of actual sales prices includes 12,705 shares sold at $11.90, 2,395 shares sold at $11.91, 5,791 shares sold at $11.92, 1,244 shares sold at $11.93, 9 shares sold at $11.94, 10,676 shares sold at $11.95, 100 shares sold at $11.955, 2,945 shares sold at $11.96, 1,130 shares sold at $11.97, 200 shares sold at $11.977, 200 shares sold at $11.99, 100 shares sold at $12.0075, 100 shares sold at $12.014 and 5 shares sold at $12.03. |
4. Represents acquisition of stock under the RadiSys Corporation Employee Stock Purchase Plan. |
5. ISO AND NQ grant on this date vest in conjunction with each other under the ISO 100,000 limit rule. Vesting schedule is one year from date of grant, option shall be exercisable for one-third of the total option shares and shall be exercisable in monthly increments equal to 1/36th of the total option shares, cumulatively, each month thereafter. |
By: Brian Bronson, Attorney-In-Fact For: Scott C. Grout | 08/14/2008 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |