|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 | ||||||||
Non Qualified Stock Option (Right to Buy) | $ 1.02 | 11/11/2011 | M | 11,500 | 11/06/2003(3) | 11/06/2013 | Common Stock | 11,300 | $ 0 | 48,500 (5) | D | ||||
Non Qualified Stock Option (Right to Buy) | $ 8.48 | 11/11/2011 | M | 13,500 | 10/01/2007(4) | 09/30/2012 | Common Stock | 13,500 | $ 0 | 0 (5) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RUDNICK ELLEN A 401 PARK AVENUE SOUTH NEW YORK, NY 10016 |
X |
/s/ Walter D. Hosp by Power of Attorney for Ellen A. Rudnick | 11/15/2011 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | These shares include 2554 restricted stock units (RSUs) which were granted on October 1, 2011 and 2,799 RSUs that were granted on October 1, 2010. These RSUs vest quarterly, with the first quarter vesting on December 31 of the grant year. A portion of the RSUs for each grant have been deferred under the Issuer's Director Deferred Compensation Plan and will be settled in shares of the Issuer's common stock upon termination of the Reporting Person's service with the Issuer. |
(2) | The Company declared a three-for-one stock split of the Company's common shares, to be effected in the form of a common stock dividend. As a result, on August 16, 2011, the reporting person received two additional shares of common stock for each share ofcommon stock held on July 22, 2011. |
(3) | Date shown is grant date. This grant vested annually in one-third increments, beginning on grant date. |
(4) | Date shown is grant date. This grant vested quarterly, with the first quarter having vesting on December 31, 2007. |
(5) | Only represents the derivitive securities in this class. |