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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 | ||||||||
Phantom Stock Units | $ 0 | 12/27/2017 | M | 911 | (5) | (6) | Common Stock | 911 | $ 0 | 29,194 | D | ||||
Phantom Stock Units | $ 0 | 12/27/2017 | M | 911 | (7) | (6) | Common Stock | 911 | $ 0 | 28,283 | D | ||||
Phantom Stock Units | $ 0 | 12/27/2017 | M | 911 | (8) | (6) | Common Stock | 911 | $ 0 | 27,372 | D | ||||
Phantom Stock Units | $ 0 | 12/27/2017 | M | 6,745 | (9) | (6) | Common Stock | 6,745 | $ 0 | 20,627 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Plotkin Ben A 787 7TH AVENUE NEW YORK, NY 33477 |
Vice Chairman and SVP |
Ben A. Plotkin | 12/29/2017 | |
**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) | Shares represent a grant of restricted stock which vest 100% ten years from the original grant date of the phantom stock unit. |
(2) | Shares represent a grant of restricted stock which vest 100% eight years from the original grant date of the phantom stock unit. |
(3) | Shares represent a grant of restricted stock which vest 100% nine years from the original grant date of the phantom stock unit. |
(4) | Shares represent a grant of restricted stock which vest in 20% increments over a 5 year period from original grant date of the phantom stock unit. |
(5) | Currently convertible. Units vest 100% ten years from the original grant date. |
(6) | No expiration date for these Units. |
(7) | Currently convertible. Units vest 100% eight years from the original grant date. |
(8) | Currently convertible. Units vest 100% nine years from the original grant date. |
(9) | Currently convertible. Units vest in 20% increments over a five year period from original grant date. |