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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 | ||||||||
Restricted Stock Unit Award | $ 0 (2) | 11/15/2013 | M | 7,750 | 05/15/2009(3) | 02/15/2014 | Common Stock, par value $.01 per share | 7,750 | $ 0 | 7,750 | D | ||||
Restricted Stock Unit Award | $ 0 (2) | 11/15/2013 | M | 1,547 | 05/15/2013(4) | 02/15/2018 | Common Stock, par value $.01 per share | 1,547 | $ 0 | 54,878 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Jassy Andrew R P.O. BOX 81226 SEATTLE, WA 98108-1226 |
Senior Vice President |
/s/ Andrew R. Jassy, Senior Vice President | 11/19/2013 | |
**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) | This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. |
(2) | Converts into Common Stock on a one-for-one basis. |
(3) | This award vests based upon the following vesting schedule and the satisfaction of certain business criteria intended to qualify the award as tax-deductible compensation under Section 162(m) of the Internal Revenue Code: 1,750 shares on each of May 15, 2009, August 15, 2009, November 15, 2009 and February 15, 2010 and 7,750 shares on May 15, 2011 and each 3-month period thereafter through February 15, 2014. |
(4) | This award vests based upon the following vesting schedule and the satisfaction of certain business criteria intended to qualify the award as tax-deductible compensation under Section 162(m) of the Internal Revenue Code: 1,547 shares on each of May 15, 2013, August 15, 2013 and November 15, 2013, 1,546 shares on February 15, 2014, 2,334 shares on each of May 15, 2014, August 15, 2014, November 15, 2014 and February 15, 2015, 1,280 shares on each of May 15, 2015 and August 15, 2015, 1,279 shares on each of November 15, 2015 and February 15, 2016, 5,489 shares on each of May 15, 2016, August 15, 2016, November 15, 2016 and February 15, 2017, 4,231 shares on each of May 15, 2017 and August 15, 2017 and 4,230 shares on each of November 15, 2017 and February 15, 2018. |