|
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 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Options (Right to Buy) - NQ | $ 37.891 | 12/10/2007 | D(5) | 67,362 | (5) | 11/23/2009 | Common Stock | 67,362 | (5) | 0 | D | ||||
Employee Stock Options (Right to Buy) - NQ | $ 37.891 | 12/10/2007 | A(5) | 67,362 | (5) | 11/23/2009 | Common Stock | 67,362 | (5) | 67,362 | D | ||||
Employee Stock Options (Right to Buy) - ISO | $ 48.875 | 12/10/2007 | D(6) | 2,046 | (6) | 11/21/2010 | Common Stock | 2,046 | (6) | 0 | D | ||||
Employee Stock Options (Right to Buy) - ISO | $ 48.875 | 12/10/2007 | A(6) | 2,046 | (6) | 11/21/2010 | Common Stock | 2,046 | (6) | 2,046 | D | ||||
Employee Stock Options (Right to Buy) - NQ | $ 48.875 | 12/10/2007 | D(6) | 97,954 | (6) | 11/21/2010 | Common Stock | 97,954 | (6) | 0 | D | ||||
Employee Stock Options (Right to Buy) - NQ | $ 48.875 | 12/10/2007 | A(6) | 97,954 | (6) | 11/21/2010 | Common Stock | 97,954 | (6) | 97,954 | D | ||||
Employee Stock Options (Right to Buy) - ISO | $ 42.945 | 12/10/2007 | D(7) | 2,328 | (7) | 11/27/2011 | Common Stock | 2,328 | (7) | 0 | D | ||||
Employee Stock Options (Right to Buy) - ISO | $ 42.945 | 12/10/2007 | A(7) | 2,328 | (7) | 11/27/2011 | Common Stock | 2,328 | (7) | 2,328 | D | ||||
Employee Stock Options (Right to Buy) - NQ | $ 42.945 | 12/10/2007 | D(7) | 133,172 | (7) | 11/27/2011 | Common Stock | 133,172 | (7) | 0 | D | ||||
Employee Stock Options (Right to Buy) - NQ | $ 42.945 | 12/10/2007 | A(7) | 133,172 | (7) | 11/27/2011 | Common Stock | 133,172 | (7) | 133,172 | D | ||||
Employee Stock Options (Right to Buy) - ISO | $ 49.91 | 12/10/2007 | D(8) | 2,003 | (8) | 11/26/2012 | Common Stock | 2,003 | (8) | 0 | D | ||||
Employee Stock Options (Right to Buy) - ISO | $ 49.91 | 12/10/2007 | A(8) | 2,003 | (8) | 11/26/2012 | Common Stock | 2,003 | (8) | 2,003 | D | ||||
Employee Stock Options (Right to Buy) - NQ | $ 49.91 | 12/10/2007 | D(8) | 137,997 | (8) | 11/26/2012 | Common Stock | 137,997 | (8) | 0 | D | ||||
Employee Stock Options (Right to Buy) - NQ | $ 49.91 | 12/10/2007 | A(8) | 137,997 | (8) | 11/26/2012 | Common Stock | 137,997 | (8) | 137,997 | D | ||||
Employee Stock Options (Right to Buy) - ISO | $ 52.26 | 12/10/2007 | D(9) | 1,913 | (9) | 11/25/2013 | Common Stock | 1,913 | (9) | 0 | D | ||||
Employee Stock Options (Right to Buy) - ISO | $ 52.26 | 12/10/2007 | A(9) | 1,913 | (9) | 12/10/2012 | Common Stock | 1,913 | (9) | 1,913 | D | ||||
Employee Stock Options (Right to Buy) - NQ | $ 52.26 | 12/10/2007 | D(9) | 148,087 | (9) | 11/25/2013 | Common Stock | 148,087 | (9) | 0 | D | ||||
Employee Stock Options (Right to Buy) - NQ | $ 52.26 | 12/10/2007 | A(9) | 148,087 | (9) | 12/10/2012 | Common Stock | 148,087 | (9) | 148,087 | D | ||||
Employee Stock Options (Right to Buy) - ISO | $ 50.285 | 12/10/2007 | D(10) | 1,988 | (10) | 11/23/2014 | Common Stock | 1,988 | (10) | 0 | D | ||||
Employee Stock Options (Right to Buy) - ISO | $ 50.285 | 12/10/2007 | A(10) | 1,988 | (10) | 12/10/2012 | Common Stock | 1,988 | (10) | 1,988 | D | ||||
Employee Stock Options (Right to Buy) - NQ | $ 50.285 | 12/10/2007 | D(10) | 173,012 | (10) | 11/23/2014 | Common Stock | 173,012 | (10) | 0 | D | ||||
Employee Stock Options (Right to Buy) - NQ | $ 50.285 | 12/10/2007 | A(10) | 173,012 | (10) | 12/10/2012 | Common Stock | 173,012 | (10) | 173,012 | D | ||||
Employee Stock Options (Right to Buy) - ISO | $ 43.8 | 12/10/2007 | D(11) | 2,283 | (11) | 11/22/2015 | Common Stock | 2,283 | (11) | 0 | D | ||||
Employee Stock Options (Right to Buy) - ISO | $ 43.8 | 12/10/2007 | A(11) | 2,283 | (11) | 11/22/2015 | Common Stock | 2,283 | (11) | 2,283 | D | ||||
Employee Stock Options (Right to Buy) - NQ | $ 43.8 | 12/10/2007 | D(11) | 124,845 | (11) | 11/22/2015 | Common Stock | 124,845 | (11) | 0 | D | ||||
Employee Stock Options (Right to Buy) - NQ | $ 43.8 | 12/10/2007 | A(11) | 124,845 | (11) | 11/22/2015 | Common Stock | 124,845 | (11) | 124,845 | D | ||||
Employee Stock Options (Right to Buy) - ISO | $ 46.37 | 12/10/2007 | D(12) | 2,156 | (12) | 11/20/2016 | Common Stock | 2,156 | (12) | 0 | D | ||||
Employee Stock Options (Right to Buy) - ISO | $ 46.37 | 12/10/2007 | A(12) | 2,156 | (12) | 11/20/2016 | Common Stock | 2,156 | (12) | 2,156 | D | ||||
Employee Stock Options (Right to Buy) - NQ | $ 46.37 | 12/10/2007 | D(12) | 173,441 | (12) | 11/20/2016 | Common Stock | 173,441 | (12) | 0 | D | ||||
Employee Stock Options (Right to Buy) - NQ | $ 46.37 | 12/10/2007 | A(12) | 173,441 | (12) | 11/20/2016 | Common Stock | 173,441 | (12) | 173,441 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BOBAK MARK T ONE BUSCH PLACE ST LOUIS, MO 63118-1852 |
Grp. VP and Chf. Legal Officer |
/s/ Laura H. Reeves, Attorney-in-Fact for Mark T. Bobak | 12/11/2007 | |
**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 two reported transactions involved an amendment (which was approved by the Compensation Committee) of an outstanding performance vesting restricted stock (to permit continued eligibility for vesting to the extent performance targets are met, notwithstanding the resignation of the Reporting Person), resulting in the deemed cancellation of the "old" stock and the grant of a replacement stock. The stock was originally granted on January 1, 2006 under shareholder approved equity incentive plan pursuant to Rule 16b-3(d). |
(2) | Includes shares held through the Company's automatic dividend reinvestment plan. |
(3) | The two reported transactions involved an amendment (which was approved by the Compensation Committee) of an outstanding performance vesting restricted stock (to permit continued eligibility for vesting to the extent performance targets are met, notwithstanding the resignation of the Reporting Person), resulting in the deemed cancellation of the "old" stock and the grant of a replacement stock. The stock was originally granted on January 1, 2007 under shareholder approved equity incentive plan pursuant to Rule 16b-3(d). |
(4) | Based on the latest plan statement as of September 30, 2007. |
(5) | The reported transactions involved an amendment of an outstanding option (which was approved by the Compensation Committee), resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 24, 1999 and provided for vesting in three equal annual installments commencing on November 24, 2000 and would expire November 23, 2009. Vested options granted before 2005 will now remain exercisable until the earlier of the fifth anniversary of his resignation or their stated terms, notwithstanding the resignation of the Reporting Person. |
(6) | The reported transactions involved an amendment of two outstanding options (which was approved by the Compensation Committee), resulting in the deemed cancellation of the "old" options and the grant of two replacement options. The options were originally granted on November 22, 2000 and provided for vesting in three equal annual installments commencing on November 22, 2001 and would expire November 21, 2010. Vested options granted before 2005 will now remain exercisable until the earlier of the fifth anniversary of his resignation or their stated terms, notwithstanding the resignation of the Reporting Person. |
(7) | The reported transactions involved an amendment of two outstanding options (which was approved by the Compensation Committee), resulting in the deemed cancellation of the "old" options and the grant of two replacement options. The options were originally granted on November 28, 2001 and provided for vesting in three equal annual installments commencing on November 28, 2002 and would expire November 27, 2011. Vested options granted before 2005 will now remain exercisable until the earlier of the fifth anniversary of his resignation or their stated terms, notwithstanding the resignation of the Reporting Person. |
(8) | The reported transactions involved an amendment of two outstanding options (which was approved by the Compensation Committee), resulting in the deemed cancellation of the "old" options and the grant of two replacement options. The options were originally granted on November 27, 2002 and provided for vesting in three equal annual installments commencing on November 27, 2003 and would expire November 26, 2012. Vested options granted before 2005 will now remain exercisable until the earlier of the fifth anniversary of his resignation or their stated terms, notwithstanding the resignation of the Reporting Person. |
(9) | The reported transactions involved an amendment of two outstanding options (which was approved by the Compensation Committee), resulting in the deemed cancellation of the "old" options and the grant of two replacement options. The options were originally granted on November 26, 2003 and provided for vesting in three equal annual installments commencing on November 26, 2004 and would expire November 25, 2013. Vested options granted before 2005 will now remain exercisable until the earlier of the fifth anniversary of his resignation or their stated terms, notwithstanding the resignation of the Reporting Person. |
(10) | The reported transactions involved an amendment of two outstanding options (which was approved by the Compensation Committee), resulting in the deemed cancellation of the "old" options and the grant of two replacement options. The options were originally granted on November 24, 2004 and provided for vesting in three equal annual installments commencing on November 24, 2005 and would expire November 23, 2014. Vested options granted before 2005 will now remain exercisable until the earlier of the fifth anniversary of his resignation or their stated terms, notwithstanding the resignation of the Reporting Person. |
(11) | The reported transactions involved an amendment of two outstanding options (which was approved by the Compensation Committee), resulting in the deemed cancellation of the "old" options and the grant of two replacement options. The options were originally granted on November 23, 2005 and provided for vesting in three equal annual installments commencing on November 23, 2006 and would expire November 22, 2015. Vested options granted in 2005 will remain exercisable for their stated terms, notwithstanding the resignation of the Reporting Person. Unvested options, which would have been forfeited upon resignation, will vest and remain exercisable in accordance with their original schedule. |
(12) | The reported transactions involved an amendment of two outstanding options (which was approved by the Compensation Committee), resulting in the deemed cancellation of the "old" options and the grant of two replacement options. The options were originally granted on November 21, 2006 and provided for vesting in three equal annual installments commencing on November 21, 2007 and would expire November 20, 2016. Vested options granted in 2005 and afterwards will remain exercisable for their stated terms, notwithstanding the resignation of the Reporting Person. Unvested options, which would have been forfeited upon resignation, will vest and remain exercisable in accordance with their original schedule. |
Remarks: The Reporting Person had multiple transactions on December 10, 2007. Due to a limitation on the number of transactions that can be electronically filed on a Form 4, the Reporting Person is reporting these transactions on two separate Form 4s. This Form 4 is 1 of 2. |