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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Schoch Alexander C 701 MARKET STREET ST. LOUIS, MO 63101 |
Exec VP & CLO |
Alexander C. Schoch By: Bryan L. Sutter Attorney-in-Fact | 04/02/2015 | |
**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) | See Remarks Section. |
(2) | Includes 2,381 shares held by the reporting person in the Company's Employee Stock Purchase Plan. |
Remarks: This amendment is being filed solely to clarify that this award is of restricted stock units, rather than restricted stock as previously reported on a Form 4 filed on January 6, 2015. The restricted stock units generally vest in whole on January 2, 2018; however, because the reporting person is expected to become retirement eligible during the three-year period following the grant date, on the first quarterly anniversary of the grant date following such time as the reporting person becomes retirement eligible: (1) a portion of the restricted stock units that would have vested by that time (had the restricted stock units been subject to vesting in substantially equal installments on each quarterly anniversary of the grant date during the period from the grant date through the third anniversary of the grant date) will then vest; and (2) the remaining restricted stock units will thereafter vest in substantially equal amounts on each quarterly anniversary of the grant date thereafter through the third anniversary of the grant date; all subject to any acceleration terms and conditions and the other terms of the restricted stock units award. The amount of securities beneficially owned directly by the reporting person is shown as of the completion of all transactions on January 2, 2015. This practice of awarding restricted stock units instead of restricted stock to recipients who are or will become retirement eligible during the equity vesting period is applicable to executives and non-executives. |