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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) | $ 31.24 | 12/29/2008 | D | 3,201 | (2) | 08/08/2015 | Common Stock | 3,201 | $ 0.76 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 28.22 | 12/29/2008 | D | 5,000 | (3) | 03/07/2017 | Common Stock | 5,000 | $ 3.78 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 23.55 | 12/29/2008 | D | 9,000 | (4) | 02/22/2018 | Common Stock | 9,000 | $ 8.45 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 31.24 | 12/29/2008 | D | 41,799 | (5) | 08/08/2015 | Common Stock | 41,799 | $ 0.76 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 28.61 | 12/29/2008 | D | 6,500 | (6) | 08/04/2016 | Common Stock | 6,500 | $ 3.39 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gatanas Harry D 12012 SUNSET HILLS ROAD SUITE 800 RESTON, VA 20190 |
Executive Vice President |
James E. Daniel by Power of Attorney | 12/31/2008 | |
**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) | Disposed of in connection with the merger (the "Merger") of Matador Acquisition Corporation, a Delaware corporation ("Merger Sub"), with and into the issuer, as contemplated by that certain Agreement and Plan of Merger by and among the issuer, Serco Group plc, a public limited company organized under the laws of England and Wales, Serco Inc., a New Jersey corporation and Merger Sub, dated as of August 26, 2008. In connection with the Merger, the shares of common stock listed were exchanged for the right to receive $32.00 per share in cash. |
(2) | This option, which fully vested on December 31, 2005, was canceled in the Merger in exchange for a cash payment of $2,432.76, representing an amount equal to the number of shares of common stock underlying the option multiplied by the difference between the per share exercise price and the per share merger consideration of $32.00. |
(3) | This option, which provided for vesting in five equal annual installments beginning on March 7, 2008, was canceled in the Merger in exchange for a cash payment of $18,900.00, representing an amount equal to the number of shares of common stock underlying the option multiplied by the difference between the per share exercise price and the per share merger consideration of $32.00. |
(4) | This option, which provided for vesting in five equal annual installments beginning on February 22, 2009, was canceled in the Merger in exchange for a cash payment of $76,050.00, representing an amount equal to the number of shares of common stock underlying the option multiplied by the difference between the per share exercise price and the per share merger consideration of $32.00. |
(5) | This option, which fully vested on December 31, 2005, was canceled in the Merger in exchange for a cash payment of $31,767.24, representing an amount equal to the number of shares of common stock underlying the option multiplied by the difference between the per share exercise price and the per share merger consideration of $32.00. |
(6) | This option, which provided for vesting in five equal annual installments beginning on August 4, 2007, was canceled in the Merger in exchange for a cash payment of $22,035.00, representing an amount equal to the number of shares of common stock underlying the option multiplied by the difference between the per share exercise price and the per share merger consideration of $32.00. |