UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Options | Â (1) | 02/22/2017 | Employee Stock Options | 4,150 | $ 32.99 | D | Â |
Employee Stock Options | Â (2) | 02/21/2018 | Employee Stock Options | 2,250 | $ 52.69 | D | Â |
Employee Stock Options | Â (3) | 02/19/2019 | Employee Stock Options | 3,750 | $ 14.05 | D | Â |
Employee Stock Options | Â (4) | 02/18/2020 | Employee Stock Options | 2,800 | $ 22.65 | D | Â |
Employee Stock Options | Â (5) | 02/24/2021 | Employee Stock Options | 2,300 | $ 32.49 | D | Â |
Employee Stock Options | Â (6) | 02/23/2022 | Employee Stock Options | 3,750 | $ 13.93 | D | Â |
Employee Stock Options | Â (7) | 02/28/2023 | Employee Stock Options | 7,400 | $ 5.23 | D | Â |
Resticted Stock Units | Â (8) | Â (9) | Restricted Stock Units | 1,500 | $ 13.93 | D | Â |
Restricted Stock Units | Â (10) | Â (9) | Restricted Stock Units | 3,600 | $ 5.23 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kelley Allen R. ONE CITYPLACE DRIVE SUITE 300 ST. LOUIS, MO 63141 |
 |  |  VP - Human Resources |  |
/s/ Jon S. Ploetz, Attorney-in-Fact | 03/05/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | The reporting person received 4,150 stock options on February 22, 2007. All the stock options vested on February 22, 2010. |
(2) | The reporting person received 2,250 stock options on February 21, 2008. All the stock options vested on February 21, 2011. |
(3) | The reporting person received 3,750 stock options on February 19, 2009. All the stock options vested on February 19, 2013. |
(4) | The reporting person received 2,800 stock options on February 18, 2010. All stock options vested on February 18, 2014. |
(5) | The reporting person received 2,300 stock options on February 24, 2011. All the stock options vested on February 24, 2014. |
(6) | The reporting person received 3,750 stock options on February 23, 2012. The stock options vest ratably over 3 years as follows: 1,250 shares vested on February 23, 2013; 1,250 shares vested on February 23, 2014; and 1,250 shares will vest on February 23, 2015. |
(7) | The reporting person received 7,400 stock options on February 28, 2013. The options vest ratably over 3 years as follows: 2,467 shares vested on February 28, 2014; 2,467 shares will vest on February 28, 2015; and 2,466 shares will vest on February 28, 2016. |
(8) | The reporting person received 1,500 restricted stock units on February 23, 2012. All of these restricted stock units vest on February 23, 2015. |
(9) | The restricted stock units do not expire. |
(10) | The reporting person received 3,600 restricted stock units on February 28, 2013. All of these restricted stock units vest on February 28, 2016. |