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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 Option (right to buy) | $ 14.5 (6) | 08/01/2007 | A | 1,228 | (7) | 08/01/2014 | Common Stock | 1,228 | $ 0 | 1,228 | I | By spouse | |||
Employee Stock Option (right to buy) | $ 16.52 | 05/12/2008 | A | 429 | (8) | 05/12/2015 | Common Stock | 429 | $ 0 | 429 | I | By spouse | |||
Employee Stock Option (right to buy) | $ 16.52 | 05/12/2008 | A | 85,954 | (8) | 05/12/2015 | Common Stock | 85,954 | $ 0 | 85,954 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dolan James P C/O DOLAN MEDIA COMPANY 706 SECOND AVENUE S., SUITE 1200 MINNEAPOLIS, MN 55402 |
X | Chairman, CEO and President |
/s/ James P. Dolan | 05/13/2008 | |
**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) | These are restricted shares issued to Mr. Dolan's spouse in connection with the Issuer's initial public offering under the Issuer's 2007 Incentive Compensation Plan. The shares vest in four equal annual installments on August 1, 2008, 2009, 2010 and 2011. |
(2) | Includes 1,907 shares of common stock that Mr. Dolan's spouse received as a pro-rata distribution from Chicosa Partners, LLC in March 2008. |
(3) | These are restricted shares issued to Mr. Dolan's spouse under the Issuer's 2007 Incentive Compensation Plan. The shares vest in four equal annual installments on May 12, 2009, 2010, 2011 and 2012. |
(4) | Includes 170,781 shares of common stock that Mr. Dolan received as a pro-rata distribution from Chicosa Partners, LLC in March 2008. |
(5) | Mr. Dolan is the managing member of the limited liability company that owns the reported securities. Mr. Dolan disclaims beneficial ownership of these securities because he has no pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of these reported shares for purpose of Section 16 or for any other purposes. |
(6) | Equal to the initial public offering price per share of the Issuer's common stock. |
(7) | The option vests in four equal annual installments on August 1, 2008, 2009, 2010 and 2011. |
(8) | This option vest in four equal annual installments on May 12, 2009, 2010, 2011 and 2012. |