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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 | ||||||||
stock options (to buy) | $ 18.38 | 11/09/2015 | C | 33,333 (1) | 12/31/2013 | 12/31/2021 | common shares | 33,333 | $ 18.38 | 66,667 (2) | D | ||||
stock options (to buy) | $ 18.38 | 11/10/2015 | C | 33,333 (1) | 12/31/2013 | 12/31/2021 | common shares | 33,333 | $ 18.38 | 33,334 (2) | D | ||||
stock options (to buy) | $ 18.38 | 11/11/2015 | C | 33,334 (1) | 12/31/2013 | 12/31/2021 | common shares | 33,334 | $ 18.38 | 0 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GELFOND RICHARD L 110 EAST 59TH STREET SUITE 2100 NEW YORK, NY 10022 |
Chief Executive Officer |
Richard L. Gelfond | 11/12/2015 | |
**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) | Stock options were exercised and common shares sold pursuant to Rule 10b5-1 Sales Plan adopted on August 14, 2015. Mr. Gelfond's 10b5-1 Sales Plan is scheduled to terminate on September 16, 2016. |
(2) | This represents the remaining balance of the options granted on the issue date, December 31, 2011, following this transaction. Mr. Gelfond's aggregate remaining outstanding option, RSU and long share balances following all transactions will be 1,677,648; 59,978 and 113,693 respectively. |