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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 Buy) | (2) | 05/03/2013 | M(1) | 2,888 | 05/03/2013 | 05/03/2013 | Common Stock | 2,888 | (2) | 8,613 (4) | D | ||||
Common Stock (Right to Buy) (5) | (6) | 05/03/2013 | A | 992 | 05/03/2016 | 05/03/2016 | Common Stock | 992 | $ 0 | 9,605 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROSENTHAL AMIR C/O STURM, RUGER & COMPANY, INC. 1 LACEY PLACE SOUTHPORT, CT 06890 |
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/s/ Leslie M. Gasper, attorney-in-fact | 05/07/2013 | |
**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) | Conversion of restricted stock units upon achievement of time-based vesting requirement. |
(2) | Security converted to Common Stock on a one-to-one basis on the date vested in accordance with the terms of the award. |
(3) | The restricted stock vests and becomes issuable on the date of the Company's 2014 Annual Meeting. |
(4) | Includes 472 shares representing options added to Mr. Rosenthal's January 4, 2010 option award to maintain its intrinsic value upon the Company's December 21, 2012 issuance of a $4.50 special cash dividend. |
(5) | Restricted Stock Units subject to time-based and other conditions of the award. |
(6) | Securities convert to Common Stock on a one-to-one basis on the date vested in accordance with the terms of the award. |