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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 Options | $ 8.655 | 03/01/2016 | M | 115,540 | 06/15/2010 | 06/15/2016 | Common Stock | 115,540 | $ 8.655 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mergenthaler Frank 909 THIRD AVE NEW YORK, NY 10022 |
EVP & CFO |
/s/Robert Dobson POA for Frank Mergenthaler | 03/02/2016 | |
**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) | Restricted shares that will vest on February 28, 2019. |
(2) | Includes restricted shares that are subject to forfeiture under certain circumstances. |
(3) | Restricted shares that will vest on February 28, 2018. |
(4) | Performance based shares, awarded to Mr. Mergenthaler on February 29, 2016 after achieving specific performance goals and vesting over the 2013-2016 period. |
(5) | Performance based cash, paid in shares, awarded to Mr. Merganthaler on February 29, 2016 after achieving specific performance goals and vesting over the 2013-2016 period. |
(6) | This is not an open market sale, rather it represents a surrender of shares to the company to satisfy withholding tax obligations. |
(7) | Involves the exercise of 115,540 options which were set to expire on June 15, 2016 and subsequent sale of the underlying shares. |
(8) | Reflects average price of multiple sales on March 1 2016 ranging from $21.15-$21.72. Mr. Mergenthaler undertakes to provide upon request by the Commission Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(9) | Open market sale. |
(10) | Reflects average price of multiple sales on March 1, 2016 ranging from $21.37-$21.72. Mr. Mergenthaler undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |