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 Option (Right to Buy) | 12/11/2007 | 12/11/2016 | Common Stock | 1,333 | $ 43.96 | D | Â |
Employee Stock Option (Right to Buy) | 12/12/2008 | 12/12/2017 | Common Stock | 2,000 | $ 57.69 | D | Â |
Employee Stock Option (Right to Buy) | 05/04/2010 | 05/04/2019 | Common Stock | 2,958 | $ 6.55 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hoffman Robert F 1 S. WACKER DRIVE SUITE 1000 CHICAGO, IL 60606 |
 |  |  | Principal Accounting Officer |
/s/ Morgan F. Walbridge, attorney-in-fact for Mr. Hoffman | 04/01/2014 | |
**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) | Includes 6,596 time-vested performance share units granted to the reporting person under a Rule 16b-3(d) plan, 750 of which vest on March 22, 2014, 1,125 of which vest on April 16, 2014, 1,186 of which vest on March 22, 2015, 1,125 of which vest on April 16, 2015 and 2,410 of which vest on March 22, 2016. |
(2) | As reported by 401(k) plan trustee on March 31, 2014. |