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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 | ||||||||
Restricted Stock Units | $ 0 (1) | 03/06/2019 | M | 29,412 | (3) | (3) | Common Stock | 29,412 | $ 0 | 136,042 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Griffith Jerome 1 LANDS' END LANE DODGEVILLE, WI 53595 |
X | CEO and President |
/s/ Peter L. Gray as attorney-in-fact for Jerome S. Griffith | 03/08/2019 | |
**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) | Each Restricted Stock Unit ("RSU") represented a contingent right to receive one share of common stock upon satisfaction of the vesting conditions. |
(2) | The reporting person contributed 120,963 shares to the Jerome Griffith Revocable Trust on December 14, 2018 in a transaction that resulted in a change in the form of beneficial ownership from direct to indirect. |
(3) | This RSU award was granted on March 6, 2017, with vesting in four installments on March 6, 2018 (25%), March 6, 2019, (25%) March 6, 2020 (25%) and March 6, 2021 (25%). |
(4) | Of the total number of RSUs, 47,716 RSUs will vest in three annual installments on March 26, 2019 (25%), March 26, 2020 (25%) and March 26, 2021 (50%); 9,834 RSUs will vest on May 1, 2019; 19,669 RSUs will vest on May 1, 2020; 29,412 RSUs will vest on March 6, 2020; and 29,411 RSUs will vest on March 6, 2021; subject in each case to the satisfaction of vesting conditions, including continued employment. |