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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CROWN JAMES S 222 N LASALLE STREET STE 2000 CHICAGO, IL 60601 |
X |
James S. Crown | 09/13/2011 | |
**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) | Held by Spouse |
(2) | Trust owned by child of Reporting Person (SOHC Trust No. 1). The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
(3) | Trust owned by child of Reporting Person (VSC Trust No. 1). The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
(4) | Trust owned by child of Reporting Person (HCC Trust No. 1). The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
(5) | Trust owned by child of Reporting Person (WAHC Trust no. 1). The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
(6) | Longview Trust Company LLC, an entity for which Reporting Person is a Manager, is the trustee of SOHC Trust No. 1, VSC Trust No. 1, HCC Trust No. 1, and WAHC Trust No. 1, which are trusts whose direct beneficiaries are the Reporting Person's children. |
(7) | Owned by a partnership, Crown Fund, of which Reporting Person is a partner. |
(8) | Owned by a partnership, Crown Fund II, of which Reporting Person is a partner. |
(9) | Includes 103,366 RSUs that may be settled only for shares of common stock. RSUs generally vest one year after the grant date and, on the settlement date, are convertible into shares of common stock on a one-for-one basis. The settlement date is six months after Reporting Person ceases to be a directyor of Sara Lee. |