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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 | ||||||||
Class B Common Stock | $ 0 (6) | 05/22/2004 | W | V | 1,037,330 | (6) | (6) | Class A Common Stock | 1,037,330 | $ 0 | 1,037,330 | I | By Voting Trust (7) | ||
Class B Common Stock | $ 0 (6) | 05/22/2004 | W | V | 96,036 | (6) | (6) | Class A Common Stock | 96,036 | $ 0 | 125,428 | I | As trustee (1) (2) | ||
Class B Common Stock | $ 0 (6) | (6) | (6) | Class A Common Stock | 820,536 | 820,536 | I | As trustee (8) | |||||||
Phantom Shares | $ 0 (9) | (9) | (9) | Class A Common Stock | 13,855 | 13,855 | D | ||||||||
Option (right to buy) | $ 24.375 | (10) | 01/27/2004 | Class A Common Stock | 5,000 | 5,000 | D | ||||||||
Option (right to buy) (11) | $ 13.04 | 07/08/2003 | 01/07/2005 | Class A Common Stock | 485,000 | 485,000 | D | ||||||||
Option (right to buy) | $ 8.125 | (10) | 03/09/2009 | Class A Common Stock | 85,000 | 85,000 | D | ||||||||
Option (right to buy) | $ 7.625 | (10) | 12/13/2009 | Class A Common Stock | 30,000 | 30,000 | D | ||||||||
Option (right to buy) | $ 5.3125 | (10) | 12/11/2010 | Class A Common Stock | 30,000 | 30,000 | D | ||||||||
Option (right to buy) | $ 7.4175 | (12) | 12/13/2011 | Class A Common Stock | 30,000 | 30,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JOHNSON LEIPOLD HELEN P 555 MAIN STREET RACINE, WI 53403 |
X | X | Chairman and CEO |
/s/ Johnson-Leipold, Helen P. | 11/08/2004 | |
**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) | Ms. Johnson-Leipold reports these shares (a) as controlling shareholder of parent corporation of Johnson Bank, the trustee of certain trusts which directly, or indirectly as shareholders of certain corporations and as general partners of certain limited partnerships, beneficially own reported shares; (b) as a general partner of a limited partnership, which indirectly owns reported shares; (c) as settlor and beneficiary of the Helen Johnson-Leipold Revocable Trust ("Trust"), which beneficially owns reported shares directly or indirectly as a shareholder of certain corporations and as the general partner of certain limited partnerships; or (d) as trustee of the Herbert F. Johnson Distributing Trust. |
(2) | Ms. Johnson-Leipold reports all shares held by certain corporations of which the Trust or the other trusts referenced above may be deemed to be a controlling shareholder. In addition, Ms. Johnson-Leipold reports all shares held by certain limited partnerships of which the Trust or such other trusts is a general partner. Due to the nature of such limited partnerships, it is impractical to determine the Trust's or such other trusts' proportionate interest (as defined by Rule 16a-1(a)(2)(ii)(B)) in such limited partnerships. Ms. Johnson-Leipold disclaims beneficial ownership of all shares directly or indirectly held by the Trust or such other trusts in which she does not have a pecuniary interest. |
(3) | As controlling shareholder of Johnson Financial Group, the parent corporation of the trustee of the trust which beneficially owns the reported shares. Ms. Johnson-Leipold disclaims beneficial ownership of these shares. |
(4) | As trustee of the Samuel C. Johnson Family Trust, which beneficially owns the shares as the controlling shareholder of a corporation. |
(5) | Reflects shares held under Savings Plan as of October 25, 2004. |
(6) | Class B Common Stock is convertible at any time on a one-share-for-one-share basis into Class A Common Stock. |
(7) | The reported shares are held by the Johnson Outdoors Inc. Class B Common Stock Voting Trust ("Voting Trust"), of which Ms. Johnson-Leipold is trustee. |
(8) | As trustee of the SCJ Family Trust, which beneficially owns the reported shares indirectly as the controlling shareholder of a corporation which beneficially owns the shares as a unit holder in the Johnson Outdoors Inc. Class B Common Stock Voting Trust. |
(9) | Phantom shares vest and are settled in cash on the third anniversary of their grant date, assuming the market price of the stock is within a prescribed range on such date. In the event the phantom shares do not vest on this date, their vesting is subject to a one year extension in the event certain performance criteria are met. |
(10) | Fully vested. |
(11) | Stock option granted pursuant to that certain Option Agreement, dated July 8, 2003, by and among the Samuel C. Johnson 1988 Trust Number 1 dated September 14, 1988, as amended and restated, Helen P. Johnson Leipold, S. Curtis Johnson, H. Fisk Johnson and Winifred J. Marquart. |
(12) | One-third of option becomes exercisable on each successive anniversary of its December 13, 2001 grant date. |