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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) | $ 89.44 | 04/03/2017 | M | 14,271 | (6) | 03/03/2021 | Common Stock | 14,271 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 166.97 | 04/03/2017 | A | 4,606 | (7) | 04/03/2027 | Common Stock | 4,606 | $ 0 | 4,606 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MCCARTHY GLORIA M 120 MONUMENT CIRCLE INDIANAPOLIS, IN 46204 |
EVP & Chief Transformation Off |
/s/ Kathleen S. Kiefer, Attorney in fact | 04/05/2017 | |
**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 sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 3, 2017. |
(2) | This transaction was executed in multiple trades at prices ranging from $165.43 to $166.41. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(3) | This transaction was executed in multiple trades at prices ranging from $166.44 to $167.42. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(4) | This transaction was executed in multiple trades at prices ranging from $167.44 to $167.47 The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(5) | Represents restricted share units. Restrictions lapse as follows: 375 shares on 4/3/2018 and, 376 shares each on 4/3/2019 and 4/3/2020. |
(6) | The option, represents a right to purchase a total of 25,671 shares, and is exercisable in six semi-annual installments, with three installments of 4,278 shares each and three installments of 4,279 shares each, beginning on September 3, 2014, which is the six-month anniversary of the option grant date. |
(7) | The option represents a right to purchase a total of 4,606 shares, and is exercisable in six semi-annual installments, with two installments of 767 shares each and four installments of 768 shares each, beginning on October 3, 2017, which is the six-month anniversary of the option grant date. |