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EYE » Topics » ISSUER PURCHASES OF EQUITY SECURITIES

This excerpt taken from the EYE 10-Q filed Nov 5, 2008.

ISSUER PURCHASES OF EQUITY SECURITIES

 

Period

    (a) Total Number
of Shares
(or Units)
Purchased(1)		    (b) Average
Price Paid per
Share (or unit)		    (c) Total Number
of Shares (or Units)
Purchased as Part of
Publicly Announced
Plans or Programs		    (d) Maximum Number
(or Approximate Dollar
Value) of Shares (or Units)
that May Yet Be
Purchased Under the Plans
or Programs

June 28, 2008 to July 25, 2008

    3,706    $ 18.54    —      —  

July 26, 2008 to August 29, 2008

    —        —      —      —  

August 30, 2008 to September 26, 2008

    526    $ 22.33    —      —  

Total

    4,232    $ 19.01    —      —  

(1) Represents shares purchased from employees to pay taxes related to an employee benefit plan.

 

38

Table of Contents
Item 6. Exhibits

 

31.1   Certification of James V. Mazzo pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2   Certification of Michael J. Lambert pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32.1   Certification of James V. Mazzo and Michael J. Lambert pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

39

Table of Contents

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

Date: November 4, 2008

 

ADVANCED MEDICAL OPTICS, INC.

/s/ MICHAEL J. LAMBERT

Michael J. Lambert

Executive Vice President and Chief Financial Officer

(Principal Financial Officer)

 

40

Table of Contents

EXHIBIT INDEX

 

31.1   Certification of James V. Mazzo pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2   Certification of Michael J. Lambert pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32.1   Certification of James V. Mazzo and Michael J. Lambert pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

41

This excerpt taken from the EYE 10-Q filed Aug 6, 2008.

ISSUER PURCHASES OF EQUITY SECURITIES

 

Period

    (a) Total Number
of Shares
(or Units)
Purchased(1) 		   (b) Average
Price Paid per
Share (or unit)		    (c) Total Number
of Shares (or Units)
Purchased as Part of
Publicly Announced
Plans or Programs		    (d) Maximum Number
(or Approximate Dollar
Value) of Shares (or Units)
that May Yet Be
Purchased Under the Plans
or Programs

April 1, 2008 to April 30, 2008

    —        —      —      —  

May 1, 2008 to May 31, 2008

    4,198    $ 22.08    —      —  

June 1, 2008 to June 27, 2008

    4,601    $ 23.84    —      —  

Total

    8,799    $ 22.22    —      —  

(1) Represents shares purchased from employees to pay taxes related to an employee benefit plan.

 

33

Table of Contents
Item 4. Submission of Matters to a Vote of Security Holders

The annual meeting of stockholders of the registrant was held on May 29, 2008. At such annual meeting, the stockholders voted upon the following proposals: (1) elect 3 directors to serve on the Board of Directors for a three-year term until the annual meeting of stockholders to be held in 2011; (2) ratify the appointment of PricewaterhouseCoopers LLP as registrant’s independent registered public accounting firm for fiscal year 2008; (3) re-approve the AMO 2002 Bonus Plan to enable AMO to meet tax deductibility requirements of Section 162(m) of the Internal Revenue Code; and (4) approve the AMO 2004 Stock Incentive Plan, which was assumed by AMO with the 2007 acquisition of IntraLase Corp. in order to allow broader utilization of the shares under New York Stock Exchange regulations without increasing overall dilution.

A summary of the voting at the annual meeting is as follows:

 

  1. Election of Directors

 

     For    Withheld    Broker Non Votes

James V. Mazzo

    39,507,803    2,662,148    —  

Robert J. Palmisano

    38,659,739    3,510,212    —  

James O. Rollans

    27,685,185    14,484,766    —  

All three directors were elected.

2. Ratification of appointment of PricewaterhouseCoopers LLP as independent registered public accounting firm for fiscal year 2008.

 

For

    41,792,648   

Against

    336,963   

Abstain

    40,340   

Broker Non-votes

    0   

The proposal was approved.

This excerpt taken from the EYE 10-Q filed May 7, 2008.

ISSUER PURCHASES OF EQUITY SECURITIES

 

Period

    (a) Total Number
of Shares
(or Units)
Purchased(1) 		   (b) Average
Price Paid per
Share (or unit)		    (c) Total Number
of Shares (or Units)
Purchased as Part of
Publicly Announced
Plans or Programs		    (d) Maximum Number
(or Approximate Dollar
Value) of Shares (or Units)
that May Yet Be
Purchased Under the Plans
or Programs

January 1, 2008 to January 31, 2008

    —        —      —      —  

February 1, 2008 to February 29, 2008        

    947    $ 24.39    —      —  

March 1, 2008 to March 28, 2008

    1,035    $ 22.38    —      —  

Total

    1,982    $ 23.34    —      —  

(1) Represents shares purchased from employees to pay taxes related to an employee benefit plan.

 

28

Table of Contents
Item 6. Exhibits

 

10.1    Agreement dated May 01, 2008 between Advanced Medical Optics, Inc., AMO Germany GmbH, AMO Switzerland GmbH, and Holger Heidrich, Ph.D., assigning and amending Dr. Heidrich’s June 28, 2002 Employment Agreement.
31.1    Certification of James V. Mazzo pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2    Certification of Michael J. Lambert pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32.1    Certification of James V. Mazzo and Michael J. Lambert pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

29

Table of Contents

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

Date: May 6, 2008

 

ADVANCED MEDICAL OPTICS, INC.

/s/ MICHAEL J. LAMBERT

Michael J. Lambert

Executive Vice President and Chief Financial Officer

(Principal Financial Officer)

 

30

Table of Contents

EXHIBIT INDEX

 

10.1    Agreement dated May 01, 2008 between Advanced Medical Optics, Inc., AMO Germany GmbH, AMO Switzerland GmbH, and Holger Heidrich, Ph.D., assigning and amending Dr. Heidrich’s June 28, 2002 Employment Agreement.
31.1    Certification of James V. Mazzo pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2    Certification of Michael J. Lambert pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32.1    Certification of James V. Mazzo and Michael J. Lambert pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

31

This excerpt taken from the EYE 10-Q filed Nov 8, 2007.

ISSUER PURCHASES OF EQUITY SECURITIES

 

Period

  

(a) Total Number
of Shares

(or Units)
Purchased(1)

   (b) Average
Price Paid per
Share (or unit)		   (c) Total Number
of Shares (or Units)
Purchased as Part of
Publicly Announced
Plans or Programs		  

(d) Maximum Number

(or Approximate Dollar

Value) of Shares (or Units)
that May Yet Be

Purchased Under the Plans
or Programs

June 30, 2007 to July 27, 2007

   —       —     —     —  

July 28, 2007 to August 31, 2007

   1,566   $ 42.20   —     —  

September 1, 2007 to September 28, 2007

   36   $ 35.10   —     —  

Total

   1,602   $ 38.65   —     —  
(1) Represents shares purchased from employees to pay taxes related to an employee benefit plan.

 

Item 6. Exhibits

 

10.1   First Amendment to Credit Agreement dated as of October 5, 2007, amending the April 2, 2007 Credit Agreement by and among Advanced Medical Optics, Inc., the guarantors party thereto, UBS Securities LLC, as syndication agent, Goldman Sachs Credit Partners L.P., as documentation agent, Bank of America N.A., as administrative agent, swing line lender and L/C issuer, and the lenders party thereto.
10.2   Schedule of Executive Officers Party to the 2007 Form of Change in Control Agreement.
10.3   Letter dated September 25, 2007 from Advanced Medical Optics, Inc. to Michael J. Lambert, offering employment as Executive Vice President and Chief Financial Officer.
31.1   Certification of James V. Mazzo pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2   Certification of Richard A. Meier pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32.1   Certification of James V. Mazzo and Richard A. Meier pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

38

Table of Contents

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

Date: November 8, 2007

 

ADVANCED MEDICAL OPTICS, INC.

/s/ Richard A. Meier

Richard A. Meier
Chief Operating Officer
(Principal Financial Officer)

/s/ Robert F. Gallagher

Robert F. Gallagher
Senior Vice President, Chief Accounting Officer and Controller
(Principal Accounting Officer)

 

39

Table of Contents

EXHIBIT INDEX

 

10.1   First Amendment to Credit Agreement dated as of October 5, 2007, amending the April 2, 2007 Credit Agreement by and among Advanced Medical Optics, Inc., the guarantors party thereto, UBS Securities LLC, as syndication agent, Goldman Sachs Credit Partners L.P., as documentation agent, Bank of America N.A., as administrative agent, swing line lender and L/C issuer, and the lenders party thereto.
10.2   Schedule of Executive Officers Party to the 2007 Form of Change in Control Agreement.
10.3   Letter dated September 25, 2007 from Advanced Medical Optics, Inc. to Michael J. Lambert, offering employment as Executive Vice President and Chief Financial Officer.
31.1   Certification of James V. Mazzo pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2   Certification of Richard A. Meier pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32.1   Certification of James V. Mazzo and Richard A. Meier pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

40

This excerpt taken from the EYE 10-Q filed Nov 7, 2007.

ISSUER PURCHASES OF EQUITY SECURITIES

 

Period

  

(a) Total Number
of Shares

(or Units)
Purchased(1)

   (b) Average
Price Paid per
Share (or unit)		   (c) Total Number
of Shares (or Units)
Purchased as Part of
Publicly Announced
Plans or Programs		  

(d) Maximum Number

(or Approximate Dollar

Value) of Shares (or Units)
that May Yet Be

Purchased Under the Plans
or Programs

June 30, 2007 to July 27, 2007

   —       —     —     —  

July 28, 2007 to August 31, 2007

   1,566   $ 42.20   —     —  

September 1, 2007 to September 28, 2007

   36   $ 35.10   —     —  

Total

   1,602   $ 38.65   —     —  
(1) Represents shares purchased from employees to pay taxes related to an employee benefit plan.

 

Item 6. Exhibits

 

10.1   First Amendment to Credit Agreement dated as of October 5, 2007, amending the April 2, 2007 Credit Agreement by and among Advanced Medical Optics, Inc., the guarantors party thereto, UBS Securities LLC, as syndication agent, Goldman Sachs Credit Partners L.P., as documentation agent, Bank of America N.A., as administrative agent, swing line lender and L/C issuer, and the lenders party thereto.
10.2   Schedule of Executive Officers Party to the 2007 Form of Change in Control Agreement.
10.3   Letter dated September 25, 2007 from Advanced Medical Optics, Inc. to Michael J. Lambert, offering employment as Executive Vice President and Chief Financial Officer.
31.1   Certification of James V. Mazzo pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2   Certification of Richard A. Meier pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32.1   Certification of James V. Mazzo and Richard A. Meier pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

37

Table of Contents

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

Date: November 6, 2007

 

ADVANCED MEDICAL OPTICS, INC.

/s/ Richard A. Meier

Richard A. Meier
Chief Operating Officer
(Principal Financial Officer)

/s/ Robert F. Gallagher

Robert F. Gallagher
Senior Vice President, Chief Accounting Officer and Controller
(Principal Accounting Officer)

 

38

Table of Contents

EXHIBIT INDEX

 

10.1   First Amendment to Credit Agreement dated as of October 5, 2007, amending the April 2, 2007 Credit Agreement by and among Advanced Medical Optics, Inc., the guarantors party thereto, UBS Securities LLC, as syndication agent, Goldman Sachs Credit Partners L.P., as documentation agent, Bank of America N.A., as administrative agent, swing line lender and L/C issuer, and the lenders party thereto.
10.2   Schedule of Executive Officers Party to the 2007 Form of Change in Control Agreement.
10.3   Letter dated September 25, 2007 from Advanced Medical Optics, Inc. to Michael J. Lambert, offering employment as Executive Vice President and Chief Financial Officer.
31.1   Certification of James V. Mazzo pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2   Certification of Richard A. Meier pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32.1   Certification of James V. Mazzo and Richard A. Meier pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

39

This excerpt taken from the EYE 10-K filed Mar 14, 2006.

ISSUER PURCHASES OF EQUITY SECURITIES

 

Period

 

Total Number of
Shares or Units
Purchased

 

Average Price
Paid per Share or
Unit

 

Total Number of
Shares or Units
Purchased as Part
of Publicly
Announced Plans or
Programs

 

Maximum Number
(or Approximate
Dollar Value) of
Shares or Units that
May Yet Be
Purchased Under the
Plans or Programs

 

 

 

 

 

 

 

 

 

October 1, 2005 – October 28, 2005

 

None

 

—

 

None

 

None

 

 

 

 

 

 

 

 

 

October 29, 2005 – November 25, 2005

 

$3,300,000 in principal amount

 

48.69 shares of common stock for each $1,000 principal amount of notes and accrued and unpaid interest thereon

 

None

 

None

 

 

 

 

 

 

 

 

 

November 26, 2005 – December 31, 2005

 

$2,127,000 in principal amount

 

48.69 shares of common stock for each $1,000 principal amount of notes and accrued and unpaid interest thereon

 

None

 

None

 

27


 

The following sets forth shares purchased from employees to pay taxes related to our equity incentive plan.

 

This excerpt taken from the EYE 10-Q filed Nov 8, 2005.

ISSUER PURCHASES OF EQUITY SECURITIES

 

Period

   

(a) Total Number
of Shares

(or Units)

Purchased

    

(b) Average

Price Paid per

Share (or unit)

   

(c) Total Number

of Shares (or Units)

Purchased as Part of

Publicly Announced

Plans or Programs

   

(d) Maximum Number

(or Approximate Dollar

Value) of Shares (or Units)
that May Yet Be

Purchased Under the Plans
or Programs

June 25, 2005 to July 29, 2005

    —         —      —      —  

July 30, 2005 to August 26, 2005

    —         —      —      —  

August 27, 2005 to September 30, 2005

    6  (1)   $ 39.82    —      —  

Total

    6     $ 39.82    —      —  
(1) Represents shares purchased from an employee to pay taxes related to an employee benefit plan.

 

Item 6. Exhibits

 

31.1    Certification of James V. Mazzo pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2    Certification of Richard A. Meier pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32.1    Certification of James V. Mazzo and Richard A. Meier pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

35

Table of Contents

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

Date: November 8, 2005

 

ADVANCED MEDICAL OPTICS, INC.
/s/ RICHARD A. MEIER
Richard A. Meier
(Principal Financial Officer)
/s/ ROBERT F. GALLAGHER
Robert F. Gallagher
(Principal Accounting Officer)

 

36

Table of Contents

EXHIBIT INDEX

 

31.1    Certification of James V. Mazzo pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2    Certification of Richard A. Meier pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32.1    Certification of James V. Mazzo and Richard A. Meier pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

37

EXCERPTS ON THIS PAGE:

10-Q
Nov 5, 2008
10-Q
Aug 6, 2008
10-Q
May 7, 2008
10-Q
Nov 8, 2007
10-Q
Nov 7, 2007
10-K
Mar 14, 2006
10-Q
Nov 8, 2005

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