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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 (4) | $ 25.3 | 04/10/2017 | M(1) | 950 | (5) | 09/06/2020 | Common Stock | 950 | $ 0 | 4,340 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JACOBSEN RENE ONE LIBERTY PLAZA 7TH FLOOR NEW YORK, NY 10006 |
Pres - Business & Industry |
By: Barbara L. Smithers, by power of attorney | 04/25/2017 | |
**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) | The sale of shares reported in this Form 4 were previously reported on a Form 4 filed on 4/10/17. However, the related option exercise (which was a broker-assisted cashless exercise resulting in the sale of the shares exercised) was mistakenly omitted from the prior Form 4, and so this amendment is being filed to add the option exercise. |
(2) | All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person. |
(3) | Includes 11,664 RSUs and DERS relating to the RSUs, adjusted to reflect the cumulative effect of fractional shares, 1,635 performance shares earned but not vested with respect to TSR performance shares granted on 9/8/2014, 460 performance shares earned but not vested with respect to performance shares granted on 1/15/2015, and DERs related thereto. |
(4) | Stock options granted under the 2006 Equity Incentive Plan. |
(5) | 25% exercisable on 9/6/2014 and 25% on the anniversary date of the following three years. |