|
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 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Class B Common | $ 0 | (2) | (2) | Class A Common | 3,762,231 | 3,762,231 | I | Interest owned by a LLC (3) | |||||||
Stock Option (2000sd) (NQ) (right to buy) | $ 16.75 | (4) | 01/06/2010 | Class A Common | 22,010 | 22,010 | D | ||||||||
Stock Option (2002nq) (right to buy) | $ 15.13 | 12/26/2007 | 12/26/2012 | Class A Common | 16,000 | 16,000 | D | ||||||||
Stock Option (right to buy) | $ 29.42 | 03/11/2009 | 03/11/2010 | Class A Common | 16,002 | 16,002 | D | ||||||||
Stock Option (right to buy) | $ 27.58 | 02/09/2010 | 02/09/2011 | Class A Common | 20,001 | 20,001 | D | ||||||||
Stock Option (2001sd) (NQ) (right to purchase) | $ 11.81 | (5) | 12/26/2010 | Class A Common | 31,788 | 31,788 | D | ||||||||
Stock Option (right to buy) | $ 31.67 | 03/10/2011 | 03/10/2012 | Class A Common | 24,000 | 24,000 | D | ||||||||
Stock Option (right to buy) | $ 28.34 | 03/09/2012 | 03/09/2013 | Class A Common | 24,000 | 24,000 | D | ||||||||
Stock Option (right to buy) | $ 9.38 | 03/10/2012 | 03/09/2014 | Class A Common | 25,000 | 25,000 | D | ||||||||
Stock Option (2001nq) (right to buy) | $ 19.24 | 12/26/2006 | 12/26/2011 | Class A Common | 16,000 | 16,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DEBOER SIDNEY B 360 E. JACKSON ST. MEDFORD, OR 97501 |
X | X | Chairman and CEO |
By: Kenneth E. Roberts, Attorney in Fact for | 02/04/2010 | |
**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) | Sidney B. Deboer is the trustee of the Sidney B. DeBoer Trust, which is the owner of a majority interest in the LLC and is the sole manager of the LLC |
(2) | Class B Common converts to Class A Common on a 1:1 ratio at holder's discretion. |
(3) | Mr. DeBoer, through DeBoer Family, LLC, of which he is the sole manager, owns a majority interest in Lithia Holding Company, LLC, of which he is also the sole manager; and he has elected to report all Class B Common Stock owned by the Lithia Holding Company, LLC as being beneficially owned by him. |
(4) | The options vest as follows: 13,627 on 1/6/01 and 8,383 on 1/6/02. |
(5) | The options vest 8,360 shares on 12/26/00, 2,108 on 12/26/02, 10,565 on 12/26/03 and 10,755 on 12/26/04 |