|
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 | ||||||||
Restricted Stock Units | (3) | 05/10/2013 | M(1) | 5,040 | (4) | 03/02/2020 | Common Stock | 5,040 | $ 0 | 5,250 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Carr Richard 1530 SHIELDS DRIVE WAUKEGAN, IL 60085 |
Executive Vice President |
/s/ James J. Junewicz, by Power of Attorney | 05/14/2013 | |
**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) | Vesting of second tranche of Restricted Stock Units ("RSUs") upon attainment of market price goals |
(2) | Reflects the amount of the RSUs settled in cash and used, in part, to satisfy tax withholding obligations. |
(3) | Each RSU is the economic equivalent of one share of common stock. A portion of the RSUs will be settled in stock and a portion will be settled in cash, as explained below. |
(4) | 3,000 and 5,040 RSUs, respectively, vested and 5,250 RSUs will vest upon Coleman Cable, Inc.'s common stock attaining three separate price goals. Upon vesting, two-thirds of the RSUs settle in shares of common stock and one-third settle in cash, subject to satisfaction of tax withholding obligations. |