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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 | ||||||||
Common Stock Option | $ 30.05 | 11/29/2017 | M | 98,132 | (1)(3) | 01/03/2018 | Common Stock | 98,132 | $ 0 | 55,321 (1) (3) | D | ||||
Common Stock Option | $ 30.05 | 11/30/2017 | M | 55,321 | (2) | 01/03/2018 | Common Stock | 55,321 | $ 0 | 0 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SLAGER DONALD W 18500 N. ALLIED WAY PHOENIX, AZ 85054 |
X | President and CEO |
/s/ Eileen B. Schuler Attorney-in-Fact | 11/30/2017 | |
**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) | On 11/29/2017, Mr. Slager exercised 98,132 options and sold 60,516 shares at $64.00 and 37,616 shares at $64.50 in accordance with his established Rule 10b5-1 Sales Plan executed on 11/07/2017 ("Plan"), and having a Plan start date of 11/10/2017 and Plan end date of 01/03/2018. Under the non-qualified stock option award (granted on 01/03/2011) and in accordance with the Plan, 153,453 options were available to exercise/sell, and after the 11/29/2017 transaction, 55,321 options remain available under the Plan to exercise/sell. The stock option grant is due to expire on 01/03/2018. |
(2) | On 11/30/2017, Mr. Slager exercised 55,321 options and sold such shares at $64.50 in accordance with his established Rule 10b5-1 Sales Plan executed on 11/07/2017 ("Plan"), and having a Plan start date of 11/10/2017 and Plan end date of 01/03/2018. Under the non-qualified stock option award (granted on 01/03/2011) and in accordance with the Plan, 55,321 options were available to exercise/sell, and after the 11/30/2017 transaction there were no remaining options available under this grant. The stock option grant is due to expire on 01/03/2018. |
(3) | As previously reported on the Form 4 filed with the SEC on 11/16/2017, Mr. Slager exercised and sold 32,421 options on 11/14/2017 from the non-qualified stock option award granted on 01/03/2011. 185,874 options were granted and fully vested and exercisable on 11/14/2017, and after the 11/14/2017 transaction, 153,453 options remained available to exercise/sell. This corrects the clerical error on the previously filed Form 4 that stated 60,516 options remained available to exercise/sell. The full grant is subject to the established Rule 10b5-1 Sales Plan executed on 11/07/2017 ("Plan"), and having a Plan start date of 11/10/2017 and Plan end date of 01/03/2018. The stock option grant is due to expire on 01/03/2018. |