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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 | ||||||||
2000 Emplee Stock Option (Right to Buy) | $ 9.88 | 03/18/2004 | 03/18/2013 | Common stock $.01 par value | 60,000 | 60,000 (4) | D | ||||||||
2000 Emplee Stock Option (Right to Buy) | $ 13.73 | 04/08/2003 | 04/07/2009 | Common stock $.01 par value | 200,000 | 200,000 (4) | D | ||||||||
2003 EIP Stock Appreciation Right | $ 10.73 | 02/13/2005 | 02/12/2014 | Common Stock | 45,000 | 45,000 | D | ||||||||
2003 EIP Stock Appreciation Right | $ 12.45 | 02/14/2007 | 02/13/2016 | Common Stock | 55,000 | 55,000 (5) | D | ||||||||
2003 EIP Stock Appreciation Right | $ 13.44 | 02/11/2006 | 02/10/2015 | Common Stock | 50,000 | 50,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ENGEL MITCHELL T 3250 LACEY ROAD, SUITE 600 DOWNERS GROVE, IL 60515-1700 |
Chief Marketing Officer |
Cristen Kogl by power of attorney | 03/20/2007 | |
**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 withheld for the tax obligation on restricted stock vesting. Mr. Engel has an agreement on file to automatically withhold shares for all vesting of restricted stock and restricted stock units. The agreement was pre-cleared and signed on August 10, 2005. |
(2) | Shares distributed from the Deferred Compensation Plan to direct holding by Mr. Engel. The Deferred Compensation distribution schedule was elected by Mr. Engel in 2002 when he became active in the plan. Also includes share purchased through the dividend reinvestment feature of the Deferred Compensation Plan through February 28, 2007. |
(3) | Includes shares acquired through the ServiceMaster Profit Sharing and Retirement Plan through February 28, 2007. |
(4) | The option is exercisable in five equal annual installments beginning on the first anniversary of the date of the grant. |
(5) | The stock appreciation right is exercisable in five equal annual installments beginning on the first anniversary of the date of grant. |