Statement of Changes in Beneficial Ownership (4)
07 July 2020 - 6:14AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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1. Name and Address of Reporting Person
*
deSouza Francis A |
2. Issuer Name and Ticker or Trading Symbol
ILLUMINA, INC.
[
ILMN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President and CEO |
(Last)
(First)
(Middle)
5200 ILLUMINA WAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/1/2020 |
(Street)
SAN DIEGO, CA 92122
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 7/1/2020 | | S | | 183 (1) | D | $363.11 (2) | 80975 | D | |
Common Stock | 7/1/2020 | | S | | 115 (1) | D | $364.29 (3) | 80860 | D | |
Common Stock | 7/1/2020 | | S | | 623 (1) | D | $365.88 (4) | 80237 | D | |
Common Stock | 7/1/2020 | | S | | 1092 (1) | D | $366.69 (5) | 79145 | D | |
Common Stock | 7/1/2020 | | S | | 790 (1) | D | $367.82 (6) | 78355 | D | |
Common Stock | 7/1/2020 | | S | | 197 (1) | D | $368.89 (7) | 78158 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Explanation of Responses: |
(1) | The sale was made pursuant to a 10b5-1 plan. |
(2) | Weighted average sale price representing 183 shares sold ranging from $362.84 to $363.41 per share. Number of shares sold at each separate price will be made available to the SEC staff, the issuer, or a security holder of the issuer upon request. |
(3) | Weighted average sale price representing 115 shares sold ranging from $363.95 to $364.95 per share. Number of shares sold at each separate price will be made available to the SEC staff, the issuer, or a security holder of the issuer upon request. |
(4) | Weighted average sale price representing 623 shares sold ranging from $365.23 to $366.21 per share. Number of shares sold at each separate price will be made available to the SEC staff, the issuer, or a security holder of the issuer upon request. |
(5) | Weighted average sale price representing 1,092 shares sold ranging from $366.24 to $367.11 per share. Number of shares sold at each separate price will be made available to the SEC staff, the issuer, or a security holder of the issuer upon request. |
(6) | Weighted average sale price representing 790 shares sold ranging from $367.25 to $368.02 per share. Number of shares sold at each separate price will be made available to the SEC staff, the issuer, or a security holder of the issuer upon request. |
(7) | Weighted average sale price representing 197 shares sold ranging from $368.48 to $369.26 per share. Number of shares sold at each separate price will be made available to the SEC staff, the issuer, or a security holder of the issuer upon request. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
deSouza Francis A 5200 ILLUMINA WAY SAN DIEGO, CA 92122 | X |
| President and CEO |
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Signatures
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By: Robert Maynes for Francis A. deSouza | | 7/6/2020 |
**Signature of Reporting Person | Date |
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