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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 | ||||||||
Option to Purchase Class A Common Stock (right to buy) | $ 10.98 | 11/24/2009 | D | 57,617 | 07/01/2004 | 09/03/2012 | Class A Common Stock | 57,617 | $ 0 (2) | 0 | D | ||||
Option to Purchase Class A Common Stock (right to buy) | $ 17.45 | 11/24/2009 | D | 27,741 | 08/03/2008 | 01/13/2015 | Class A Common Stock | 27,741 | $ 0 (2) | 0 | D | ||||
Option to Purchase Class A Common Stock (right to buy) | $ 17.45 | 11/24/2009 | D | 12,804 | 07/01/2009 | 07/01/2015 | Class A Common Stock | 12,804 | $ 0 (2) | 0 | D | ||||
Option to Purchase Class A Common Stock (right to buy) | $ 17.45 | 11/24/2009 | D | 25,607 | (3) | 06/01/2012 | Class A Common Stock | 25,607 | $ 0 (2) | 0 | D | ||||
Option to Purchase Class A Common Stock (right to buy) | $ 15 | 11/24/2009 | D | 36,574 | (4) | 10/10/2013 | Class A Common Stock | 36,574 | $ 0 (2) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lurie Peter 10 INDEPENDENCE BLVD, 2ND FLOOR WARREN, NJ 07059 |
GENERAL COUNSEL & SECRETARY |
/s/ Nathan Marinoff, Attorney-in-Fact | 11/24/2009 | |
**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) | Pursuant to the Merger Agreement dated July 27, 2009 among the Issuer, Sprint Nextel Corporation ("Sprint"), and Sprint Mozart, Inc., each of these shares or restricted stock units was cancelled at the effective time of the merger and converted into the right to receive, as applicable, 1.3668 shares of Sprint stock or 1.3668 restricted stock units of Sprint with vesting terms substantially similar to the restricted stock units of the Issuer being cancelled. On the effective date of the merger, the market value of Sprint stock was $3.75 per share. |
(2) | This stock option was cancelled in the merger in exchange for no consideration. |
(3) | This stock option provided for vesting in four equal annual installments on 6/1/2007, 6/1/2008, 6/1/2009 and 6/1/2010. |
(4) | This stock option provided for vesting in four equal annual installments on 7/1/2008, 7/1/2009, 7/1/2010 and 7/1/2011. |