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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) | $ 14.875 | (8) | 11/29/2009 | Common Stock, $.10 par value | 9,750 | 9,750 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 12.5417 | (8) | 11/30/2010 | Common Stock, $.10 par value | 15,000 | 15,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.1133 | (8) | 03/10/2013 | Common Stock, $.10 par value | 6,000 | 6,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 13.32 | (9) | 12/17/2017 | Common Stock, $.10 par value | 20,000 | 20,000 | D | ||||||||
Restricted Stock Units (10) | $ 0 | (11) | (11) | Common Stock, $.10 par value | 20,000 | 20,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 6.39 | 04/07/2009 | A | 8,000 | (12) | 04/06/2019 | Common Stock, $.10 par value | 8,000 | $ 0 | 8,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SHAW STEVEN A C/O VOLT INFORMATION SCIENCES INC 560 LEXINGTON AVENUE NEW YORK, NY 10022 |
X | PRESIDENT/CEO |
/s/ Howard Weinreich, Attorney-In-Fact | 04/15/2009 | |
**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) | Held by the reporting person as co-trustee of a trust for the benefit of a nephew of the reporting person. |
(2) | The filing of this statement shall not be construed as an admission that the reporting person is, for the purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. |
(3) | Held in the reporting person's Employee Stock Ownership Plan account in the Company Savings Plan as of the date hereof. |
(4) | Held in the reporting person's Stock Fund under the reporting person's 401(k) Plan account in the Company Savings Plan as of the date hereof. |
(5) | Held as co-trustee of a trust of which the reporting person is a beneficiary. |
(6) | Held as co-trustee of trusts for the benefit of two siblings of the reporting person. |
(7) | Held as trustee of trusts for the benefit of two nephews of the reporting person. |
(8) | Each option is currently exercisable in full. |
(9) | Options may be "earned" subject to the Company's achievement of certain performance goals measured at the end of the Company's 2012 fiscal year (i.e., the end of the fiscal year beginning on the Sunday nearest October 31, 2012). Such options, to the extent so "earned," will vest in four equal annual installments on the 15th day of the third month of each of the Company's fiscal years 2013, 2014, 2015 and 2016. |
(10) | Each restricted stock unit represents the right to one share of common stock. |
(11) | Each share of common stock represented by a restricted stock unit may be "earned" subject to the Company's achievement of certain performance goals measured at the end of the Company's 2011 fiscal year (i.e., the end of the fiscal year beginning on the Sunday nearest October 31, 2011). Such shares, to the extent so "earned," will vest in five equal annual installments on the 15th day of the third month of each of the Company's fiscal years 2012, 2013, 2014, 2015 and 2016. |
(12) | The option is exercisable in 20% annual increments over a 5 year period, with the initial increment being exercisable 1 year after the date of the grant. |