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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 | ||||||||
| Common Stock (right to purchase) | $ 1.36 (1) | 01/31/2012 | 01/31/2021 | Common Stock | 10,000 | 10,000 | D | ||||||||
| Deferred Common Stock | (2) | (3) | (3)(4) | Common Stock | 2,000 | 20,030 | D | ||||||||
| Common Stock (right to purchase) | $ 0.3 (1) | 08/07/2013 | 08/07/2022 | Common Stock | 10,000 | 10,000 | D | ||||||||
| Common Stock (right to purchase) | $ 0.415 (1) | 02/14/2014 | 02/14/2023 | Common Stock | 10,000 | 10,000 | D | ||||||||
| Common Stock (right to purchase) | $ 0.52 (5) | 02/13/2015 | 02/13/2024 | Common Stock | 10,000 | 10,000 | D | ||||||||
| Common Stock (right to purchase) | $ 0.44 (1) | 02/18/2016 | 02/18/2025 | Common Stock | 9,000 | 9,000 | D | ||||||||
| Common Stock (right to purchase) | $ 0.42 (1) | 02/23/2017 | 02/23/2026 | Common Stock | 8,100 | 8,100 | D | ||||||||
| Common Stock (right to purchase) | $ 0.9 (6) | 11/17/2016 | 11/17/2026 | Common Stock | 2,000 | 2,000 | D | ||||||||
| Common Stock (right to purchase) | $ 1.05 (6) | 11/17/2016 | 11/17/2026 | Common Stock | 2,000 | 2,000 | D | ||||||||
| Common Stock (right to purchase) | $ 1.18 (6) | 11/17/2016 | 11/17/2026 | Common Stock | 2,000 | 2,000 | D | ||||||||
| Common Stock (right to purchase) | $ 0.84 (6) | 11/17/2016 | 11/17/2026 | Common Stock | 2,000 | 2,000 | D | ||||||||
| Common Stock (right to purchase) | $ 1.85 (6) | 11/17/2016 | 11/17/2026 | Common Stock | 2,000 | 2,000 | D | ||||||||
| Common Stock (right to purchase) | $ 1.1 (6) | 11/17/2016 | 11/17/2026 | Common Stock | 2,000 | 2,000 | D | ||||||||
| Common Stock (right to purchase) | $ 0.99 (6) | 11/17/2016 | 11/17/2026 | Common Stock | 2,000 | 2,000 | D | ||||||||
| Common Stock (right to purchase) | $ 0.68 (5) | 02/21/2018 | 02/21/2027 | Common Stock | 10,000 | 10,000 | D | ||||||||
| Common Stock (right to purchase) | $ 0.82 | 05/23/2019(1) | 05/23/2028 | Common Stock | 10,000 | 10,000 | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| WHITMORE R JANET 1319 MARQUETTE DRIVE ROMEOVILLE, IL 60446 |
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| By Jess Jankowski under UPA for R. Janet Whitmore | 09/19/2018 | |
| **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) | Subject to certain rights and restrictions, beginning on this date, options vest in three equal annual installments. |
| (2) | Each share of deferred common stock represents a right to receive one share of common stock. |
| (3) | The deferred common stock becomes payable upon the reporting person's termination of service as a director of the Company. |
| (4) | Pursuant to such plan, the reporting person elected to defer receipt of such shares and receive a cumulative total of 20,030 shares of deferred common stock which will all be accounted for under the Company's Non-Employee Director Deferred Compensation Plan. |
| (5) | Beginning on this date, subject to certain restrictions, the stock option vests in three equal annual installments. |
| (6) | The stock appreciation rights payable upon the reporting person's termination of service as a director of the Company were terminated, with stock options issued at identical exercise prices to the conversion prices of the respective stock appreciation rights. 2,000 were issued with an exercise price of $0.90, 2,000 were issued with an exercise price of $1.05, 2,000 were issued with an exercise price of $1.18, 2,000 were issued with an exercise price of $0.84, 2,000 were issued with an exercise price of $1.85, 2,000 were issued with an exercise price of $1.10, and 2,000 were issued with an exercise price of $0.99. |