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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 | ||||||||
Call Option (1) | $ 31.05 (3) | 09/26/2008 | E/K(4) | 1 | 09/26/2008 | 09/26/2008 | Common Stock | 322,183 (6) | $ 0 | 0 | D | ||||
Put Option (2) | $ 20.7 (3) | 09/26/2008 | E/K(4)(5) | 1 | 09/26/2008 | 09/26/2008 | Common Stock | 322,183 (6) | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
REESE C RICHARD 100 BELVEDERE STREET, APT. 9F BOSTON, MA 02199 |
X | Executive Chairman |
/s/ Ernest W. Cloutier, under Power of Attorney dated June 5, 2008 from C. Richard Reese | 09/29/2008 | |
**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) | Obligation to sell. |
(2) | Right to sell. |
(3) | The exercise price reflects a 3-2 stock split that occurred after Mr. Reese entered into the zero-cost collar arrangement. |
(4) | Mr. Reese entered into a zero-cost collar arrangement with a third party pursuant to which he wrote covered call options and purchased put options. One of these call options and one of these put options expired on September 26, 2008. As neither such call option nor such put option was in-the-money as of the expiration date, both options expired unexercised. |
(5) | Expiration of a long derivative security for no value, transaction code "K" only. |
(6) | The number of shares reflects a 3-2 stock split that occurred after Mr. Reese entered into the zero-cost collar arrangement. |