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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ERNST BARRIE W 118 SECOND AVENUE SE P.O. BOX 73909 CEDAR RAPIDS, IA 52407-3909 |
VP/Chief Investment Officer |
/s/ Barrie W. Ernst | 04/06/2009 | |
**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) | On December 19, 2008, the individual retirement account for the benefit of Mr. Ernst's spouse sold 500 shares of Company common stock. On March 31, 2009, the December 19, 2008 sale was cancelled. |
(2) | The number of securities beneficially owned includes: 1944 shares of restricted stock issued under Company's 2008 Stock Plan, which vest, subject to certain conditions, on 05/21/2013; 216 shares held in the Company's Employee Stock Ownership Plan for Mr. Ernst's benefit; and 500 shares held in an individual retirement account for the benefit of Mr. Ernst's spouse. |
(3) | On December 19, 2008, Mr. Ernst, as custodian for his daughter, sold 200 shares of Company common stock. On March 31, 2009, the December 19, 2008 sale was cancelled, effective as of December 19, 2008. |
(4) | The number of securities beneficially owned includes: 1944 shares of restricted stock issued under Company's 2008 Stock Plan, which vest, subject to certain conditions, on 05/21/2013; 216 shares held in the Company's Employee Stock Ownership Plan for Mr. Ernst's benefit; 500 shares held in an individual retirement account for the benefit of Mr. Ernst's spouse; and 200 shares held as custodian for Mr. Ernst's daughter. |
(5) | This is the number of untized shares in Mr. Ernst's 401(k) account. The number of underlying shares of common stock is based on the stock fund balance on March 31, 2009. The actual number of shares of common stock issuable upon the distribution date is not determinable because the stock fund is a unitized account consisting of approximately 97% company stock and 3% cash. The stock account balance reflected in this report is based on an March 31, 2009, stock fund price of $5.99 per share. |