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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) | $ 0.3745 | 02/13/2013 | M | 5,744 | (4) | 06/30/2014 | Common Stock | 5,744 | $ 0 | 72 (5) | D | ||||
Employee Stock Option (right to buy) | $ 0.3745 | 02/14/2013 | M | 72 | (4) | 06/30/2014 | Common Stock | 72 | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 0.3745 | 02/14/2013 | M | 2,651 | (4) | 12/31/2014 | Common Stock | 2,651 | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 0.3745 | 02/14/2013 | M | 6,331 | (4) | 03/31/2016 | Common Stock | 6,331 | $ 0 | 109,621 | D | ||||
Employee Stock Option (right to buy) | $ 0.3745 | 02/15/2013 | M | 10,614 | (4) | 03/31/2016 | Common Stock | 10,614 | $ 0 | 99,007 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Black Archie C. 333 SOUTH SEVENTH STREET SUITE 1000 MINNEAPOLIS, MN 55402 |
X | President & CEO |
/s/ James R. DeBuse, attorney-in-fact | 02/15/2013 | |
**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) | Reflects the weighted average price of $37.0877 shares of Common Stock of the Issuer sold by the reporting person in multiple transactions on February 13, 2013 with sales prices ranging from $36.70 to $37.64 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price. |
(2) | Reflects the weighted average price of $37.7093 shares of Common Stock of the Issuer sold by the reporting person in multiple transactions on February 14, 2013 with sales prices ranging from $37.12 to $37.93 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price. |
(3) | Reflects the weighted average price of $37.6948 shares of Common Stock of the Issuer sold by the reporting person in multiple transactions on February 15, 2013 with sales prices ranging from $37.10 to $37.98 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price. |
(4) | Fully vested. |
(5) | The Form 4 filed on December 14, 2012 erroneously reported the exercise of securities from this grant thereby incorrectly reporting the number of derivitive securities remaining under this employee stock option. The Amended Form 4 to correct the error was filed on February 15, 2013. |