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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 | ||||||||
Phantom Shares | (2) | (3) | (3) | Common Stock | 6,000 | 6,000 | D | ||||||||
Phantom Shares | (2) | (3) | (3) | Common Stock | 6,000 | 12,000 | D | ||||||||
Phantom Shares | (2) | (3) | (3) | Common Stock | 6,000 | 18,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Wentworth Lynn A 221 EAST FOURTH STREET CINCINNATI, OH 45202 |
X |
Christopher J. Wilson by Power of Attorney for Lynn A. Wentworth | 08/02/2011 | |
**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) | On May 3, 2011, each of the Company's non-employee directors was granted 12,110 restricted shares under the 2007 Stock Option Plan for Non-Employee Directors. It was subsequently determined that the number of full value shares available to be granted under the above-referenced plan was insufficient to grant that number of shares to each non-employee director. Accordingly, the Company's board of directors determined that each non-employee director would rescind 2,270 of the previously granted shares to stay within plan limits for full value shares. |
(2) | One for one conversion. |
(3) | Phantom Shares are payable in cash following retirement or termination of the reporting person's affiliation with the Company. |