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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 (Right to Buy) | $ 1.32 | 02/04/2014 | D | 7,000 | (1) | 01/01/2019 | Common Stock | 7,000 | $ 32.72 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 1.79 | 02/04/2014 | D | 200 | (1) | 01/09/2019 | Common Stock | 200 | $ 32.25 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 6.3 | 02/04/2014 | D | 1,000 | (1) | 07/14/2019 | Common Stock | 1,000 | $ 27.74 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 10.96 | 02/04/2014 | D | 4,500 | (1) | 08/01/2017 | Common Stock | 4,500 | $ 23.08 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 11.69 | 02/04/2014 | D | 10,000 | (1) | 01/01/2018 | Common Stock | 10,000 | $ 22.35 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 14.5 | 02/04/2014 | D | 3,000 | (1) | 01/01/2017 | Common Stock | 3,000 | $ 19.54 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 16.63 | 02/04/2014 | D | 2,000 | (1) | 03/02/2017 | Common Stock | 2,000 | $ 17.41 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 18.26 | 02/04/2014 | D | 30,000 | (1) | 01/01/2020 | Common Stock | 30,000 | $ 15.78 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 21.9 | 02/04/2014 | D | 15,000 | (1) | 12/05/2018 | Common Stock | 15,000 | $ 12.14 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 27.17 | 02/04/2014 | D | 20,000 | (1) | 12/12/2019 | Common Stock | 20,000 | $ 6.87 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 34.54 | 02/04/2014 | D | 3,000 | (1) | 12/07/2014 | Common Stock | 3,000 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 34.81 | 02/04/2014 | D | 25,000 | (1) | 12/14/2017 | Common Stock | 25,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Goolsby Ronald 19975 VICTOR PARKWAY LIVONIA, MI 48167 |
Chief Operating Officer |
Linda J. Schalek, by Power of Attorney | 02/05/2014 | |
**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) | Per the terms of the Merger Agreement by and among Valassis Communications, Inc., Harland Clarke Holdings Corp. and V Acquisition Sub, Inc., dated as of December 17, 2013, each stock option that was outstanding and unexercised immediately prior to the Effective Time (as defined in the Merger Agreement), whether or not vested, was cancelled in consideration for the right to receive cash in an amount equal to the product of (i) the total number of shares subject to each such option immediately prior to the Effective Time and (ii) the excess, if any, of (x) $34.04 over (y) the exercise price per share subject to such stock option. |