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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) | $ 55.975 | 02/14/2014 | M | 84,000 | (7) | 02/06/2016 | Common Stock | 84,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
INGRAM DOUGLAS S 2525 DUPONT DRIVE IRVINE, CA 92612 |
President |
/s/ Matthew J. Maletta, attorney-in-fact for Douglas S. Ingram | 02/18/2014 | |
**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) | Includes shares acquired under the Allergan, Inc. Dividend Reinvestment Plan. |
(2) | The price reported in Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $124.25 to $124.64, inclusive. The reporting person undertakes to provide Allergan, Inc., any security holder of Allergan, Inc., or the staff of the Securities and Exchange Commission, upon request, the full information regarding the number of shares sold at each price within the range set forth in this footnote. |
(3) | Exempt disposition to the issuer, effective 2/14/2014, of a number of shares determined to be sufficient to satisfy tax withholding obligations resulting from the lapse of restrictions of an exempt award of 517 shares of restricted stock units granted on 2/17/2012. |
(4) | Shares allocated to reporting person's SIP account as of reporting date. |
(5) | Shares allocated to the reporting person's ESOP account as of reporting date. |
(6) | Shares held by the Ingram Family Trust established September 16, 2003, of which the Reporting person and his spouse are each trustees. |
(7) | The option becomes exercisable in four equal annual installments beginning February 6, 2007. |