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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 Options (right to buy) | $ 24.56 | 01/18/2013 | A(3) | 8,100 | (4) | 01/18/2023 | Common stock | 8,100 | $ 0 (5) | 8,100 | D | ||||
Employee Stock Options (right to buy) | $ 23.4 | (6) | 01/12/2022 | Common stock | 16,200 | 16,200 | D | ||||||||
Employee Stock Options (right to buy) | $ 14.01 | (7) | 10/03/2021 | Common stock | 10,000 | 10,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Heidkamp Terrence G TWO NORTH RIVERSIDE PLAZA SUITE 1300 CHICAGO, IL 60606 |
Sr Vice President, Operations |
/s/ Laurence M. Trusdell, as attorney in fact | 01/23/2013 | |
**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) | Exempt issuance of restricted shares under Rule 16(b)-3 pursuant to the Issuer's 2005 Long Term Incentive Plan. These shares were granted on January 18, 2013 and will vest in three equal annual installments beginning on January 18, 2014. The restricted shares are subject to certain restrictions (including possible forfeiture). |
(2) | The restricted shares were granted pursuant to the Issuer's 2005 Long Term Incentive Plan, for which no consideration was paid by the recipient. |
(3) | Exempt issuance of options under Rule 16(b)-3 pursuant to the Issuer's 2005 Long Term Incentive Plan |
(4) | The options vest in three equal annual installments beginning on January 18, 2014. |
(5) | The options were granted pursuant to the Issuer's 2005 Long term Incentive Plan, for which no consideration was paid by the recipient. |
(6) | On January 12, 2012, the recipient was granted 16,200 options. 5,400 stock options are fully vested and currently exercisable, 5,400 stock options will vest on January 12, 2014 and 5,400 stock options will vest on January 12, 2015. |
(7) | On October 3, 2011, the recipient was granted 10,000 options. 3,333 stock options are fully vested and currently exercisable, 3,333 stock options will vest on October 3, 2013 and 3,334 stock options will vest on October 3, 2014. |