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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) | $ 35.28 | 05/15/2018 | A | 87,868 | (7) | 05/15/2028 | Common Stock, $.10 par value | 87,868 | $ 0 | 87,868 | D | ||||
Employee Stock Option (right to buy) | $ 31.53 | 05/15/2018 | M | 29,305 (3) | (8) | 05/15/2026 | Common Stock, $.10 par value | 29,305 | $ 0 | 29,305 | D | ||||
Employee Stock Option (right to buy) | $ 31.69 | 05/15/2018 | M | 33,848 (3) | (9) | 05/15/2027 | Common Stock, $.10 par value | 33,848 | $ 0 | 65,703 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sayed Ayman 520 MADISON AVENUE NEW YORK, NY 10022 |
Pres., Chief Products Officer |
/s/ Ayman Sayed by David R. Goldman as attorney-in-fact | 05/17/2018 | |
**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) | Represents restricted stock which, subject to earlier forfeiture, vests over three years as follows: 34% on May 15, 2019, 33% on May 15, 2020 and 33% on May 15, 2021. |
(2) | Represents shares granted in connection with the achievement of performance targets over a three-year performance period ended March 31, 2018. |
(3) | The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. |
(4) | Indicates the weighted average sale price of multiple sales effected on the transaction date. Sale prices ranged from $34.720 to $35.030, inclusive. The Reporting Person will provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(5) | Indicates the weighted average sale price of multiple sales effected on the transaction date. Sale prices ranged from $34.770 to $35.170, inclusive. The Reporting Person will provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(6) | Shares held in the CA Savings Harvest Plan, a 401(k) Plan. |
(7) | The option becomes exercisable over three years as follows: 34% on May 15, 2019, 33% on May 15, 2020 and 33% on May 15, 2021. |
(8) | The option becomes exercisable over three years as follows: 34% on May 15, 2017, 33% on May 15, 2018 and 33% on May 15, 2019. |
(9) | The option becomes exercisable over three years as follows: 34% on May 15, 2018, 33% on May 15, 2019 and 33% on May 15, 2020. |
Remarks: Exhibit List Exhibit 24 - Power of Attorney |