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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 | 11/08/2004 | J(1) | 13,333 | (2) | (2) | Common Stock | 13,333 | $ 0 | 13,333 | D | ||||
Restricted Stock Units | $ 0 | 11/08/2004 | J(1) | 3,087 | (2) | (2) | Common Stock | 3,087 | $ 0 | 3,087 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FROMAN JOHN W 9950 MAYLAND DRIVE RICHMOND, VA 23233 |
EVP Chief Operating Officer |
Alice G. Givens, Attorney in Fact | 11/09/2004 | |
**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) | Thirty-three and one-third percent (33 1/3%) of the restricted stock units that were issued on November 8, 2002 and November 20, 2002 have vested. |
(2) | Thirty-three and one-third percent (33 1/3%) of the restricted stock units shall vest on each of the first, second and third anniversaries of the date of the grant, provided the grantee has continued employment with Circuit City Stores, Inc. or one of its subsidiaries through such anniversary or anniversaries. All restrictions shall lapse and the restricted stock shall become one hundred percent (100%) vested upon the grantee's termination of employment due to death, disability, or retirement, provided that the grantee has continued employment with Circuit City Stores, Inc. or its subsidiaries through such event. |