SEC FORM 4 SEC Form 4
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*
ANDERSON JAMES ROBERT

(Last) (First) (Middle)
111 SW 5TH AVE., 7TH FL.

(Street)
PORTLAND OR 97204

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
LATTICE SEMICONDUCTOR CORP [ LSCC ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
President & CEO
3. Date of Earliest Transaction (Month/Day/Year)
09/04/2018
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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
Non-Qualified Stock Option (right to buy) $8.24 09/04/2018 A 574,363 09/04/2019(1) 09/04/2025 Common Stock 574,363 $0.0 574,363 D
Performance Restricted Stock Unit (PRSU) $0.0(2) 09/04/2018 A 222,278 09/30/2019(3) (4) Common Stock 222,278 $0.0 222,278 D
Performance Restricted Stock Unit (PRSU) $0.0(2) 09/04/2018 A 193,834 09/30/2019(5) (4) Common Stock 193,834 $0.0 416,112 D
Restricted Stock Unit (RSU) $0.0(2) 09/04/2018 A 374,746 09/04/2019(6) (4) Common Stock 374,746 $0.0 374,746 D
Explanation of Responses:
1. Grants of Non-Qualified Stock Options vest as follows: 33% of the options will vest on the first anniversary of the date of grant, and an additional 8.33% of the options shall vest at the end of each three month period thereafter.
2. Each Restricted Stock Unit (RSU) represents a right to receive one share of the Issuers common shares without payment of specific consideration.
3. Grants of Performance Restricted Stock Units vest as follows: one-third on each of 9/30/19, 9/30/2020 and 9/30/2021 upon achievement of the performance conditions.
4. Not applicable.
5. Grants of Performance Restricted Stock Units (PRSUs) will vest upon the Company meeting targets on a trailing four quarter basis, the RSUs will begin vesting about January 1, 2020 and each quarter thereafter dependent on the achievement of targets ending about September 30, 2022.
6. Grants of Restricted Stock Units (RSUs) vest as follows: 33% of the RSUs will vest on the first anniversary of the date of grant, and an additional 8.33% of the RSUs shall vest at the end of each three month period thereafter.
By: Byron W. Milstead, Attorney-in-Fact For: James R. Anderson 09/26/2018
** 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).
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