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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 | ||||||||
Stock Option (right to buy) | $ 5.35 | 02/04/2004(1) | 06/01/2010 | Common Stock, par value $0.001 | 8,600 | 8,600 | D | ||||||||
Stock Option (right to buy) | $ 10.28 | 02/04/2004(1) | 07/23/2013 | Common Stock, par value $0.001 | 2,800 | 2,800 | D | ||||||||
Stock Option (right to buy) | $ 1.6 | 12/31/2008(1) | 06/01/2010 | Common Stock, par value $0.001 | 22,400 | 22,400 | D | ||||||||
Stock Option (right to buy) | $ 6.53 | 08/01/2007 | M | 8,400 | 12/31/2012(1) | 07/23/2013 | Common Stock, par value $0.001 | 2,800 | (2) | 2,800 | D | ||||
Stock Option (right to buy) | $ 12.05 | 08/04/2007(3) | 08/04/2016 | Common Stock, par value $0.001 | 35,000 | 35,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Prue Jennifer 5 PENN PLAZA NEW YORK, NY 10001 |
Chief Information Officer |
/s/ Robert Kane, Attorney-in-Fact | 08/14/2007 | |
**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) | These options are subject to vesting earlier than indicated date in the event of the sale of the Issuer to a third party, or the achievement by the Issuer of certain Equity Value Targets (as defined in the Stock Option Agreement governing this grant). |
(2) | Represents an option granted by the Issuer. |
(3) | The option is subject to a vesting schedule during which 25% of the shares subject to the option vest on each of the first four anniversaries of the grant date. This option is also subject to vesting earlier than the date indicated in the event of a Change in Control (as defined in the Issuer's 2006 Stock Incentive Plan) of the Issuer. |