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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) | $ 4.24 (2) | (3) | 02/12/2016 | Common Stock | 55,492 | 55,492 (2) | D | ||||||||
Employee Stock Option (Right to Buy) | $ 12.82 (4) | (5) | 02/11/2017 | Common Stock | 36,539 | 36,539 (4) | D | ||||||||
Employee Stock Option (Right to Buy) | $ 14.89 (6) | (7) | 02/09/2018 | Common Stock | 28,392 | 28,392 (6) | D | ||||||||
Employee Stock Option (Right to Buy) | $ 4.92 (8) | (9) | 02/16/2019 | Common Stock | 53,412 | 53,412 (8) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Broad Matthew R C/O OFFICEMAX INCORPORATED 263 SHUMAN BLVD. NAPERVILLE, IL 60563 |
EVP and General Counsel |
/s/ Susan Wagner-Fleming by POA from Matthew Broad | 06/19/2013 | |
**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) | The number of shares beneficially owned reflects an equitable adjustment on June 17, 2013 to the reporting person's restricted stock units, made pursuant to the anti-dilutive provisions of the Company's OMIPP as a result of a special cash dividend to be paid to shareholders of record as of the close of business on June 12, 2013. |
(2) | This stock option was previously reported as covering 49,000 shares at an exercise price of $4.80 per share. The exercise price and the number of shares underlying this stock option reflects an equitable adjustment made on June 17, 2013 pursuant to the anti-dilutive provisions of the Company's OMIPP as a result of a special cash dividend to be paid to shareholders of record as of the close of business on June 12, 2013. |
(3) | The stock option vested in three equal annual installments beginning on February 12, 2010. |
(4) | This stock option was previously reported as covering 32,264 shares at an exercise price of $14.52 per share. The exercise price and the number of shares underlying this stock option reflects an equitable adjustment made on June 17, 2013 pursuant to the anti-dilutive provisions of the Company's OMIPP as a result of a special cash dividend to be paid to shareholders of record as of the close of business on June 12, 2013. |
(5) | The stock option vested in three equal annual installments beginning on February 11, 2011. |
(6) | This stock option was previously reported as covering 25,070 shares at an exercise price of $16.86 per share. The exercise price and the number of shares underlying this stock option reflects an equitable adjustment made on June 17, 2013 pursuant to the anti-dilutive provisions of the Company's OMIPP as a result of a special cash dividend to be paid to shareholders of record as of the close of business on June 12, 2013. |
(7) | The stock option vests in three equal annual installments beginning on February 9, 2012. |
(8) | This stock option was previously reported as covering 47,163 shares at an exercise price of $ 5.57 per share. The exercise price and the number of shares underlying this stock option reflects an equitable adjustment made on June 17, 2013 pursuant to the anti-dilutive provisions of the Company's OMIPP as a result of a special cash dividend to be paid to shareholders of record as of the close of business on June 12, 2013. |
(9) | The stock option vests in three equal annual installments beginning on February 16, 2013. |