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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 | ||||||||
Stock Option (Right to Buy) | $ 5.9 | 07/05/2011 | D | 2,000 | (14) | 04/28/2019 | Common Stock | 2,000 | (14) | 0 | D | ||||
Stock Option (Right to Buy) | $ 9.08 | 07/05/2011 | D | 2,000 | (15) | 04/27/2020 | Common Stock | 2,000 | (15) | 0 | D | ||||
Stock Option (Right to Buy) | $ 21.91 | 07/05/2011 | D | 20,043 | (16) | 04/22/2013 | Common Stock | 20,043 | (16) | 0 | D | ||||
Stock Option (Right to Buy) | $ 32.87 | 07/05/2011 | D | 20,043 | (17) | 04/25/2016 | Common Stock | 20,043 | (17) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PLATTEN PETER M 770 NORTH WATER STREET MILWAUKEE, WI 53202 |
X |
Jodi W. Rosenthal (as attorney-in-fact) | 07/07/2011 | |
**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) | Disposed of pursuant to merger agreement between issuer and Bank of Montreal ("BMO"), pursuant to which, effective July 5, 2011, Marshall & Ilsley Corporation merged with and into a subsidiary of BMO (the "Merger"), in exchange for 11,015 shares of BMO common stock having a market value of $63.15 per share. |
(2) | Disposed of pursuant to merger agreement between issuer and Bank of Montreal ("BMO") in exchange for 357 shares of BMO common stock having a market value of $63.15 per share. |
(3) | Disposed of pursuant to merger agreement between issuer and Bank of Montreal ("BMO") in exchange for 658 shares of BMO common stock having a market value of $63.15 per share. |
(4) | Disposed of pursuant to merger agreement between issuer and Bank of Montreal ("BMO") in exchange for 280 shares of BMO common stock having a market value of $63.15 per share. |
(5) | Disposed of pursuant to merger agreement between issuer and Bank of Montreal ("BMO") in exchange for 237 shares of BMO common stock having a market value of $63.15 per share. |
(6) | Disposed of pursuant to merger agreement between issuer and Bank of Montreal ("BMO") in exchange for 185 shares of BMO common stock having a market value of $63.15 per share. |
(7) | Disposed of pursuant to merger agreement between issuer and Bank of Montreal ("BMO") in exchange for 100 shares of BMO common stock having a market value of $63.15 per share. |
(8) | Disposed of pursuant to merger agreement between issuer and Bank of Montreal ("BMO") in exchange for 500 shares of BMO common stock having a market value of $63.15 per share. |
(9) | Disposed of pursuant to merger agreement between issuer and Bank of Montreal ("BMO") in exchange for 657 shares of BMO common stock having a market value of $63.15 per share. |
(10) | Disposed of pursuant to merger agreement between issuer and Bank of Montreal ("BMO") in exchange for 3,399 shares of BMO common stock having a market value of $63.15 per share. |
(11) | Disposed of pursuant to merger agreement between issuer and Bank of Montreal ("BMO") in exchange for 4,968 shares of BMO common stock having a market value of $63.15 per share. |
(12) | Disposed of pursuant to merger agreement between issuer and Bank of Montreal ("BMO") in exchange for 657 shares of BMO common stock having a market value of $63.15 per share. |
(13) | Disposed of pursuant to merger agreement between issuer and Bank of Montreal ("BMO") in exchange for 8,914 shares of BMO common stock having a market value of $63.15 per share. |
(14) | This option which vested on 4/28/2009, the date of grant, was assumed by BMO in the Merger and replaced with an option to purchase 251 shares of BMO common stock for $46.94 per share. |
(15) | This option which vested on 4/27/2010, the date of grant, was assumed by BMO in the Merger and replaced with an option to purchase 251 shares of BMO common stock for $72.24 per share. |
(16) | This option which vested on 4/22/2003, the date of grant, was assumed by BMO in the Merger and replaced with an option to purchase 2,519 shares of BMO common stock for $174.27 per share. |
(17) | This option which vested on 4/25/2006, the date of grant, was assumed by BMO in the Merger and replaced with an option to purchase 2,519 shares of BMO common stock for $261.49 per share. |
Remarks: On July 5, 2011, Bank of Montreal ("BMO") and Marshall & Ilsley Corporation ("M&I") completed their previously announced transaction whereby M&I was merged (the "Merger") with and into a wholly-owned subsidiary of BMO ("Merger Sub"), with Merger Sub continuing as the surviving entity. Pursuant to the Merger Agreement dated December 17, 2010, as supplemented, by and among BMO, M&I and Merger Sub, in the Merger, each share of M&I common stock outstanding immediately prior to the merger was converted into the right to receive 0.1257 shares of BMO common stock. No fractional shares of BMO common stock will be issued in connection with the Merger, and holders of M&I common stock are entitled to receive cash in lieu thereof. |