| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
| |||||||||||||||
1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 04/30/2015 | 3. Issuer Name and Ticker or Trading Symbol ILLUMINA INC [ ILMN ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
| |||||||||||||||
| Table I - Non-Derivative Securities Beneficially Owned | |||
|---|---|---|---|
| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock(1)(2) | 47,657 | D | |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
|---|---|---|---|---|---|---|---|
| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Non-qualified Stock Option (Right to Buy) | 02/27/2010(3) | 01/27/2020 | Common Stock | 5,540 | 37.04 | D | |
| Non-qualified Stock Option (Right to Buy) | 02/28/2011(3) | 01/31/2021 | Common Stock | 1,510 | 69.34 | D | |
| Explanation of Responses: |
| 1. Includes 35,018 unvested performance stock units, which represent contingent right to receive one share of common stock based on the Company's earnings per share for fiscal years ending 1/3/16 (20,063 shares), 1/1/17 (8,438 shares), 12/31/17 (6,517 shares). Number of shares issued will range from 0% to 150% of the amount specified based on the Company's actual earnings per share for each fiscal year, relative to pre-defined objectives. |
| 2. Includes 8,333 unvested restricted stock units which vest as follows: 544 shares vesting 11/5/15, 1,817 vesting 1/29/16, 1,823 vesting 3/8/16, 543 vesting 11/5/16, 1,817 vesting 1/29/17, 543 vesting 11/5/17, 703 vesting 1/29/18, 543 vesting 11/5/18. |
| 3. One forty-eighth (1/48) of the Shares subject to the Option become exercisable on the date indicated above, subject to Optionee's continuing to be a Service Provider on such date. An additional one-forty eighth (1/48) of the Shares subject to the Option shall become exercisable each full month therafter, subject to Optionee's continuing to be a Service Provider on such date. |
| By: Scott M. Davies for Omead Ostadan | 05/21/2015 | |
| ** 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 5 (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. | ||
