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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) | $ 16.1 | 12/07/2012 | M | 542,311 | (2) | 08/08/2015 | Common Stock | 542,311 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 16.1 | 12/07/2012 | M | 531,319 | 10/24/2007(3) | 08/08/2015 | Common Stock | 531,319 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 16.1 | 12/07/2012 | M | 336,378 | 02/23/2009(4) | 10/24/2017 | Common Stock | 336,378 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 12.81 | 12/07/2012 | M | 127,103 | 02/23/2012(5) | 02/22/2020 | Common Stock | 127,103 | $ 0 | 127,103 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NUTI WILLIAM 7 WORLD TRADE CENTER 250 GREENWICH STREET NEW YORK, NY 10007 |
X | Chairman, CEO and President |
Mary H. Fragola, as Attorney-in-Fact for William R. Nuti | 12/11/2012 | |
**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) | The exercise and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 3, 2012. |
(2) | The grant representing a right to purchase a total of 542,311 shares, vested in four equal annual installments on August 8, 2006, August 8, 2007, August 8, 2008 and August 8, 2009. |
(3) | The grant representing a right to purchase a total of 531,319 shares, vested on October 24, 2007. |
(4) | The grant representing a right to purchase a total of 336,378 shares, vested on February 23, 2009. |
(5) | The grant representing a right to purchase a total of 254,206 shares, vests in four equal annual installments commencing on February 23, 2011. The first two installments vested on February 23, 2011 and the date shown above, respectively. |