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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 |
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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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 12 | 01/30/2014 | M | 10,000 | 08/05/2006(2) | 08/05/2015 | Common Stock | 10,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 9.37 | 01/30/2014 | M | 30,000 | 04/06/2007(3) | 04/06/2016 | Common Stock | 30,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 7.99 | 01/30/2014 | M | 10,000 | 06/21/2007(4) | 06/21/2016 | Common Stock | 10,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 9.5 | 01/30/2014 | M | 10,000 | 06/20/2008(5) | 06/20/2017 | Common Stock | 10,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 10.1 | 01/30/2014 | M | 10,000 | 05/28/2009(6) | 05/28/2018 | Common Stock | 10,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 2.58 | 01/30/2014 | M | 10,000 | 05/21/2010(7) | 05/21/2019 | Common Stock | 10,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 5.15 | 01/30/2014 | M | 10,000 | 05/19/2011(8) | 05/19/2020 | Common Stock | 10,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 14.17 | 01/30/2014 | M | 6,667 | 05/18/2012(9) | 05/18/2021 | Common Stock | 6,667 | $ 0 | 3,333 | D | ||||
Stock Option (right to buy) | $ 8.04 | 01/30/2014 | M | 3,334 | 05/15/2013(10) | 05/15/2022 | Common Stock | 3,334 | $ 0 | 6,666 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JOHNSTON RICHARD M CAMDEN PARTNERS HOLDINGS, LLC 500 EAST PRATT STREET, SUITE 1200 BALTIMORE, MD 21202 |
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/s/ Richard M. Johnston | 01/31/2014 | |
**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) | Shares transferred to Camden Partners Holdings, LLC. |
(2) | These options were granted on August 5, 2005 and are exercisable cumulatively at a rate of 25% per annum beginning one year from the date of grant. |
(3) | These options were granted on April 6, 2006 and are exercisable cumulatively at a rate of 25% per annum beginning one year from the date of grant. |
(4) | These options were granted on June 21, 2006 and are exercisable cumulatively at a rate of 33% per annum beginning one year from the date of grant. |
(5) | These options were granted on June 20, 2007 and are exercisable cumulatively at a rate of 33% per annum beginning one year from the date of grant. |
(6) | These options were granted on May 28, 2008 and are exercisable cumulatively at a rate of 33% per annum beginning one year from the date of grant. |
(7) | These options were granted on May 21, 2009 and are exercisable cumulatively at a rate of 33% per annum beginning one year from the date of grant. |
(8) | These options were granted on May 19, 2010 and are exercisable cumulatively at a rate of 33% per annum beginning one year from the date of grant. |
(9) | These options were granted on May 18, 2011 and are exercisable cumulatively at a rate of 33% per annum beginning one year from the date of grant. |
(10) | These options were granted on May 15, 2012 and are exercisable cumulatively at a rate of 33% per annum beginning one year from the date of grant. |