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BIO-RAD LABORATORIES, INC. — Director's Dealing 2011
Nov 8, 2011
30786_dirs_2011-11-08_90e0c1fc-4530-4a5c-a751-1da092415c0f.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: BIO RAD LABORATORIES INC (BIO, BIOB)
CIK: 0000012208
Period of Report: 2011-11-04
Reporting Person: SCHWARTZ DAVID (Director, Chairman of the Board, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-10-05 | Bio-Rad A Common Stock | G | 141046 | — | Disposed | 0 | Indirect |
| 2011-10-05 | Bio-Rad A Common Stock | G | 141046 | — | Disposed | 0 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-11-04 | Restricted Stock Units | $0 | A | 1500 | Acquired | Bio-Rad B Common Stock (1500) | Direct | |
| 2011-11-04 | Non-Qualified Stock Option (right to buy) | $100.06 | A | 5000 | Acquired | 2021-11-04 | Bio-Rad B Common Stock (5000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Bio-Rad A Common Stock | 1998089 | Direct |
| Bio-Rad A Common Stock | 774823 | Indirect |
| Bio-Rad A Common Stock | 34311 | Indirect |
| Bio-Rad B Common Stock | 461926 | Direct |
| Bio-Rad B Common Stock | 4060054 | Indirect |
| Bio-Rad B Common Stock | 41176 | Indirect |
Footnotes
F1: On October 5, 2011, 339,377 Class A shares were transferred from the David Schwartz 2009 Grantor Retained Annuity Trust (GRAT) to David Schwartz, and such shares are directly beneficially owned by him.
F2: On October 5, 2011, 339,377 Class A shares were transferred from the Alice N. Schwartz 2009 Grantor Retained Annuity Trust (GRAT) to Alice N. Schwartz, and such shares are directly beneficially owned by her.
F3: In addition to the reported transaction, the reporting person and the reporting person's spouse each received 339,377 Class A shares as a distribution from their separate 2009 GRATs and such shares are directly beneficially owned by each of them.
F4: The shares are held by a limited partnership of which the reporting person is a limited and general partner.
F5: The shares are held by a limited partnership of which the reporting person is a general partner.
F6: Each restricted stock unit represents a contingent right to receive one share of Bio-Rad Class B Common Stock.
F7: The restricted stock units vest over five years at 20% per year on the yearly anniversary date of the grant.
F8: The stock option vests over five years at 20% per year on the yearly anniversary date of the grant.