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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 | ||||||||
Employee Stock Option to Purchase Class A Common Stock (3) | $ 15.86 | 02/25/2019 | M | 30,000 | 04/07/2015(4) | 04/06/2024 | Class A Common Stock | 30,000 | $ 0 | 134,240 | D | ||||
Employee Stock Option to Purchase Class A Common Stock (3) | $ 15.86 | 02/26/2019 | M(2) | 10,000 | 04/07/2015(4) | 04/06/2024 | Class A Common Stock | 10,000 | $ 0 | 124,240 | D | ||||
Employee Stock Option to Purchase Class A Common Stock (3) | $ 15.83 | 08/12/2015(4) | 08/11/2024 | Class A Common Stock | 39,600 | 39,600 | D | ||||||||
Employee Stock Option to Purchase Class A Common Stock (5) | $ 14.74 | 02/01/2017(6) | 01/31/2026 | Class A Common Stock | 31,469 | 31,469 | D | ||||||||
Employee Stock Option to Purchase Class A Common Stock (5) | $ 12.4 | 02/01/2018(6) | 01/31/2027 | Class A Common Stock | 37,407 | 37,407 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Miller J Stuart 2900 UNIVERSITY BOULEVARD AMES, IA 50010 |
Executive VP & CFO |
/s/ Troy M. Calkins as attorney-in-fact for J. Stuart Miller | 02/27/2019 | |
**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) | The price reported in Column 4 is a weighted-average price. The prices actually received range from $48.2737 to $49.00. For all transactions reported in this Form 4 utilizing a weighted-average price, the reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range. |
(2) | Exercise and sale at the direction and for the benefit of the reporting person's former spouse, accordingly the reporting person did not acquire beneficial ownership of the shares. |
(3) | Granted pursuant to 2009 Unit Incentive Plan. |
(4) | Vests as to 25% of the shares on the first anniversary of the grant date and as to 6.25% of the shares at the end of each three-month period thereafter. |
(5) | Grant of stock option pursuant to the 2014 Equity Incentive Plan. |
(6) | Vests in three equal annual installments commencing on the first anniversary of the grant date. |