ORCL » Topics » Equity Compensation Plan Information

This excerpt taken from the ORCL DEF 14A filed Aug 21, 2009.

Equity Compensation Plan Information

The following table summarizes information, as of May 31, 2009, regarding our equity compensation plans.

 

      May 31, 2009  

( in millions, except price data)

   Number of
Securities to be Issued
Upon Exercise of
Outstanding Options,
Warrants and Rights
   Weighted Average
Exercise Price of
Outstanding Options,
Warrants and Rights
   Number of Securities
Remaining Available for
Future Issuance Under
Equity Compensation
Plans (1)
 

Equity compensation plans approved by stockholders

   306    $ 18.48    319  (2) 

Equity compensation plans not approved by stockholders (3)

   54    $ 17.40      
                    

Total

   360    $ 18.32    319   
                    

 

 

(1)

These numbers exclude the shares listed under the column heading “Number of Securities to be Issued Upon Exercise of Outstanding Options, Warrants and Rights.”

(2)

This number includes 78 million shares available for future issuance under the Oracle Corporation Employee Stock Purchase Plan (1992).

(3)

These options and restricted stock units were assumed in connection with our acquisitions. No additional awards were or can be granted under the plans that originally issued these awards.

 

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Table of Contents
These excerpts taken from the ORCL 10-K filed Jun 29, 2009.
Equity Compensation Plan Information
 
                         
    May 31, 2009  
                Number of Securities
 
    Number of Securities
          Remaining Available
 
    to be Issued Upon
    Weighted Average
    for Future Issuance
 
    Exercise of
    Exercise Price of
    Under Equity
 
    Outstanding Options,
    Outstanding Options,
    Compensation
 
(in millions, except price data)   Warrants and Rights     Warrants and Rights     Plans(1)  
 
Equity compensation plans approved by stockholders
    306     $ 18.48       319 (2)
Equity compensation plans not approved by stockholders(3)
    54     $ 17.40        
                         
Total
    360     $ 18.32       319  
                         
 
 
(1) These numbers exclude the shares listed under the column heading “Number of Securities to be Issued Upon Exercise of Outstanding Options, Warrants and Rights.”
 
(2) This number includes 78 million shares available for future issuance under the Oracle Corporation Employee Stock Purchase Plan.
 
(3) These options and restricted stock units were assumed in connection with our acquisitions. No additional awards were or can be granted under the plans that originally issued these awards. For a brief description of the assumed plans, please refer to Note 13 (Employee Benefit Plans) of Notes to Consolidated Financial Statements included elsewhere in this annual report.
 
Information required by this Item 12 with respect to Stock Ownership of Certain Beneficial Owners and Management is incorporated herein by reference from the information to be contained in our 2009 Proxy Statement under the section entitled “Security Ownership of Certain Beneficial Owners and Management”.
 
Item 13.   Certain Relationships and Related Transactions, and Director Independence
 
The information required by this Item is incorporated herein by reference from the information to be contained in our 2009 Proxy Statement under the sections entitled “Corporate Governance—Board of Directors and Director Independence” and “Related Party Transactions”.
 
Item 14.   Principal Accountant Fees and Services
 
The information required by this Item is incorporated herein by reference from the information to be contained in our 2009 Proxy Statement under the section entitled “Proposal No. 3: Ratification of Selection of Independent Registered Public Accounting Firm”.
 
Equity
Compensation Plan Information



 
















































































































































































                         

 

 

May 31, 2009

 

 

 

 

 

 

 

 

 

Number of Securities



 

 

 

Number of Securities



 

 

 

 

 

Remaining Available



 

 

 

to be Issued Upon



 

 

Weighted Average



 

 

for Future Issuance



 

 

 

Exercise of



 

 

Exercise Price of



 

 

Under Equity



 

 

 

Outstanding Options,



 

 

Outstanding Options,



 

 

Compensation



 

(in millions, except price data)

 

Warrants and Rights

 

 

Warrants and Rights

 

 

Plans(1)


 
 


Equity compensation plans approved by stockholders


 

 

306

 

 

$

18.48

 

 

 

319

(2)



Equity compensation plans not approved by
stockholders(3)



 

 

54

 

 

$

17.40

 

 

 



 

 

 

 

 

 

 

 

 

 

 

 

 

 


Total


 

 

360

 

 

$

18.32

 

 

 

319

 

 

 

 

 

 

 

 

 

 

 

 

 

 






 




 





































(1)

These numbers exclude the shares
listed under the column heading “Number of Securities to be
Issued Upon Exercise of Outstanding Options, Warrants and
Rights.”
 

(2)

This number includes
78 million shares available for future issuance under the
Oracle Corporation Employee Stock Purchase Plan.
 

(3)

These options and restricted stock
units were assumed in connection with our acquisitions. No
additional awards were or can be granted under the plans that
originally issued these awards. For a brief description of the
assumed plans, please refer to Note 13 (Employee Benefit
Plans) of Notes to Consolidated Financial Statements included
elsewhere in this annual report.


 



Information required by this Item 12 with respect to Stock
Ownership of Certain Beneficial Owners and Management is
incorporated herein by reference from the information to be
contained in our 2009 Proxy Statement under the section entitled
“Security Ownership of Certain Beneficial Owners and
Management”.


 















Item 13.  

Certain
Relationships and Related Transactions, and Director
Independence



 



The information required by this Item is incorporated herein by
reference from the information to be contained in our 2009 Proxy
Statement under the sections entitled “Corporate
Governance—Board of Directors and Director
Independence” and “Related Party Transactions”.


 















Item 14.  

Principal
Accountant Fees and Services



 



The information required by this Item is incorporated herein by
reference from the information to be contained in our 2009 Proxy
Statement under the section entitled
“Proposal No. 3: Ratification of Selection of
Independent Registered Public Accounting Firm”.


 




Equity Compensation Plan Information
 
                         
    May 31, 2008  
                Number of Shares
 
    Number of
          Remaining Available
 
    Shares to be Issued
    Weighted Average
    for Future Issuance
 
    Upon Exercise of
    Exercise Price of
    Under Equity
 
    Outstanding Options,
    Outstanding Options,
    Compensation
 
(in millions, except price data)   Warrants and Rights     Warrants and Rights     Plans(1)  
 
Equity compensation plans approved by stockholders
    301     $ 16.33       382 (2)
Equity compensation plans not approved by stockholders(3)
    78     $ 16.28        
                         
Total
    379     $ 16.37       382  
                         
 
 
(1) These numbers exclude the shares listed under the column heading “Number of Shares to be Issued Upon Exercise of Outstanding Options, Warrants and Rights.”
 
(2) This number includes 81 million shares available for future issuance under the Oracle Corporation Employee Stock Purchase Plan (1992).
 
(3) These options and restricted stock units were assumed in connection with our acquisitions. No additional awards were or can be granted under the plans that originally issued these awards.
 
Information required by this Item with respect to Stock Ownership of Certain Beneficial Owners and Management is incorporated herein by reference from the information to be contained in our Proxy Statement.


61


Table of Contents

Item 13.   Certain Relationships and Related Transactions, and Director Independence
 
The information required by this Item is incorporated herein by reference from the information to be contained in our Proxy Statement.
 
Item 14.   Principal Accountant Fees and Services
 
The information required by this Item is incorporated herein by reference from the information to be contained in our Proxy Statement.
 
Equity
Compensation Plan Information



 
















































































































































































                         

 

 

May 31, 2008

 

 

 

 

 

 

 

 

 

Number of Shares



 

 

 

Number of



 

 

 

 

 

Remaining Available



 

 

 

Shares to be Issued



 

 

Weighted Average



 

 

for Future Issuance



 

 

 

Upon Exercise of



 

 

Exercise Price of



 

 

Under Equity



 

 

 

Outstanding Options,



 

 

Outstanding Options,



 

 

Compensation



 

(in millions, except price data)

 

Warrants and Rights

 

 

Warrants and Rights

 

 

Plans(1)

 
 


Equity compensation plans approved by stockholders


 

 

301

 

 

$

16.33

 

 

 

382

(2)


Equity compensation plans not approved by
stockholders(3)


 

 

78

 

 

$

16.28

 

 

 



 

 

 

 

 

 

 

 

 

 

 

 

 

 


Total


 

 

379

 

 

$

16.37

 

 

 

382

 

 

 

 

 

 

 

 

 

 

 

 

 

 






 




 





































(1)

These numbers exclude the shares
listed under the column heading “Number of Shares to be
Issued Upon Exercise of Outstanding Options, Warrants and
Rights.”
 

(2)

This number includes
81 million shares available for future issuance under the
Oracle Corporation Employee Stock Purchase Plan (1992).
 

(3)

These options and restricted stock
units were assumed in connection with our acquisitions. No
additional awards were or can be granted under the plans that
originally issued these awards.


 



Information required by this Item with respect to Stock
Ownership of Certain Beneficial Owners and Management is
incorporated herein by reference from the information to be
contained in our Proxy Statement.





61





Table of Contents


















Item 13.  

Certain
Relationships and Related Transactions, and Director
Independence



 



The information required by this Item is incorporated herein by
reference from the information to be contained in our Proxy
Statement.


 















Item 14.  

Principal
Accountant Fees and Services



 



The information required by this Item is incorporated herein by
reference from the information to be contained in our Proxy
Statement.


 




This excerpt taken from the ORCL 10-K filed Jun 29, 2007.
Equity Compensation Plan Information
 
                     
    May 31, 2007  
    Number of
      Number of Shares
 
    Shares to be Issued
  Weighted Average
  Remaining Available for
 
    Upon Exercise of
  Exercise Price of
  Future Issuance Under
 
    Outstanding Options,
  Outstanding Options,
  Equity Compensation
 
    Warrants and Rights   Warrants and Rights   Plans(1)  
 
Equity compensation plans approved by stockholders
    356,148,558   $ 13.52     432,842,962 (2)
Equity compensation plans not approved by stockholders(3)
    79,802,812   $ 13.93      
                     
Total
    435,951,370           432,842,962  
                     
 
 
(1) These numbers exclude the shares listed under the column heading “Number of Shares to be Issued Upon Exercise of Outstanding Options, Warrants and Rights.”
 
(2) This number includes 84,212,131 shares available for future issuance under the Oracle Corporation Employee Stock Purchase Plan (1992).


60


Table of Contents

 
(3) These options were assumed in connection with our acquisitions in fiscal 2007, fiscal 2006 and fiscal 2005. No additional awards were or can be granted under the plans that originally issued these options.
 
Information required by this Item with respect to Stock Ownership of Certain Beneficial Owners and Management is incorporated herein by reference from the information provided under the heading “Security Ownership of Certain Beneficial Owners and Management” of our Proxy Statement.
 
Item 13.   Certain Relationships and Related Transactions, and Director Independence
 
The information required by this Item is incorporated herein by reference from the information to be contained in our Proxy Statement.
 
Item 14.   Principal Accountant Fees and Services
 
The information required by this Item is incorporated herein by reference from the information to be contained in our Proxy Statement.
 

Equity Compensation Plan Information

     May 31, 2006  
      Number of
Shares to be Issued
Upon Exercise of
Outstanding Options,
Warrants and Rights
   Weighted-Average
Exercise Price of
Outstanding Options,
Warrants and Rights
  

Number of Shares
Remaining Available for
Future Issuance Under
Equity Compensation

Plans(1)

 

Equity compensation plans approved by stockholders

   385,399,095    $ 12.43    484,541,254 (2)

Equity compensation plans not approved by stockholders(3)

   88,048,797    $ 16.83     
              

Total

   473,447,892       484,541,254  
              

(1) These numbers exclude the  shares listed under the column heading “Number of Shares to be Issued Upon Exercise of Outstanding Options, Warrants and Rights.”

 

(2) This  number includes 87,201,428 shares available for future issuance under the Oracle Corporation Employee Stock Purchase Plan (1992).

 

(3) These  options were assumed in connection with our acquisitions in fiscal 2005 and fiscal 2006. No additional awards were or can be granted under the plans that originally issued these options.

 

58


Table of Contents

Information required by this Item with respect to Stock Ownership of Certain Beneficial Owners and Management is incorporated herein by reference from the information provided under the heading “Security Ownership of Certain Beneficial Owners and Management” of our Proxy Statement.

 

Item 13. Certain Relationships and Related Transactions

 

The information required by this Item is incorporated herein by reference from the information provided under the heading “Related Party Transactions” of our Proxy Statement.

 

Item 14. Principal Accountant Fees and Services

 

The information required by this Item is incorporated herein by reference from the information provided under the heading “Ratification of Selection of Independent Registered Public Accounting Firm” of our Proxy Statement.

 

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