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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 | ||||||||
Common Stock Options (right to buy) | $ 19.09 | (2) | 02/25/2023 | Class A Common Stock | 200,000 (2) | 200,000 | D | ||||||||
Common Stock Options (right to buy) | $ 21.98 | (3) | 02/10/2024 | Class A Common Stock | 157,407 (3) | 157,407 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Casey Thomas ONE STAMFORD PLAZA, 263 TRESSER BLVD. SUITE 1100 STAMFORD, CT 06901 |
X | Chairman, CEO |
/s/ Richard Muglia, as attorney-in-fact for Thomas Casey | 10/06/2014 | |
**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) | As of October 6, 2014, 373,716 of previously granted restricted shares were eligible to vest. 47,125 of these previously granted restricted shares did not vest due to one of the vesting criteria not being satisfied. Mr. Casey paid $851,310 in cash to satisfy withholding tax obligations and received 76,591 shares. Additionally, the Company withheld 111,150 shares to satisfy withholding tax obligations on the balance of the shares, and Mr. Casey received the balance of 138,850 shares of previously granted restricted common stock. |
(2) | As reported on Form 4 filed 10/11/2013, the options vest in three equal installments on the anniversary date of the grant. |
(3) | As reported on Form 4 filed 02/12/2014, the options vest in three equal installments on the anniversary date of the grant. |