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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 | ||||||||
Restricted Stock Units | $ 0 (2) | 02/28/2019 | A | 1,555 | (4) | (4) | Common | 1,555 | $ 0 | 1,555 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Spencer Michael L 10000 WEHRLE DRIVE CLARENCE, NY 14031 |
Chief Ethics & Compliance Of |
/s/ Mark Zawodzinski as attorney-in-fact for Michael L. Spencer. | 03/04/2019 | |
**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) | Represent the portion of a performance-based restricted stock unit ("PRSU") award made on January 4, 2016 that was determined to be earned based on performance for the period ending December 28, 2018. The established performance and service conditions were determined to have been met as of February 28, 2019. |
(2) | Restricted stock units convert into common stock on a one-for-one basis. |
(3) | Represent the portion of a PRSU award made on February 6, 2017 that was determined to be earned based on performance for the period ending December 28, 2018. The established performance and service conditions were determined to have been met as of February 28, 2019. |
(4) | Represent the portion of a PRSU award made on February 6, 2017 that was determined to be earned based on performance for the period ending December 28, 2018. The established performance conditions were determined to have been met as of February 28, 2019. The PRSUs are scheduled to vest on January 3, 2020, provided the reporting person is employed by the Issuer on the vesting date. |