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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) | $ 4.24 | 11/05/2013 | D | 28,312 | (2) | 02/12/2016 | common stock | 28,312 | (2) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 12.82 | 11/05/2013 | D | 20,034 | (3) | 02/11/2017 | common stock | 20,034 | (3) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 14.89 | 11/05/2013 | D | 19,343 | (4) | 02/09/2018 | common stock | 19,343 | (4) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 4.92 | 11/05/2013 | D | 25,637 | (5) | 02/16/2019 | common stock | 25,637 | (5) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
OCONNOR DEBORAH A C/O OFFICEMAX INCORPORATED 263 SHUMAN BLVD NAPERVILLE, IL 60563 |
Interim CFO, SVP and CAO |
/s/ Susan Wagner-Fleming, by POA from Deborah O'Connor | 11/07/2013 | |
**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) | Disposed of pursuant to a merger agreement between OfficeMax Incorporated (the "Company"), Office Depot, Inc. ("ODP") and their respective subsidiaries, in exchange for 93,555 shares of ODP common stock and 73,766 ODP restricted stock units, on the effective date of the merger (such merger, the "Merger") (in accordance with the exchange ratio set forth in the merger agreement pursuant to which each share of the Company's common stock was exchanged for 2.69 shares of ODP common stock). The closing price of ODP common stock on November 5, 2013 (the effective date of the merger) was $5.65 per share. |
(2) | This stock option, which provided for vesting in three equal annual installments, on each of the first three anniversaries of its 2/12/2009 grant date, was assumed by ODP in connection with the Merger and replaced with an option to purchase 76,159 shares of ODP common stock for $1.58 per share. |
(3) | This stock option, which provided for vesting in three equal annual installments, on each of the first three anniversaries of its 2/11/2010 grant date, was assumed by ODP in connection with the Merger and replaced with an option to purchase 53,891 shares of ODP common stock for $4.77 per share. |
(4) | This stock option, which provided for vesting in three equal annual installments, on each of the first three anniversaries of its 2/9/2011 grant date, was assumed by ODP in connection with the Merger and replaced with an option to purchase 52,032 shares of ODP common stock for $5.54 per share. |
(5) | This stock option, which provided for vesting in three equal annual installments, on each of the first three anniversaries of its 2/16/2012 grant date, was assumed by ODP in connection with the Merger and replaced with an option to purchase 68,963 shares of ODP common stock for $1.83 per share. |
Remarks: In connection with the Merger (defined in the footnotes above), Mapleby Holdings Merger Corporation has become the successor registrant to OfficeMax Incorporated. |