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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 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 | ||||||||
Employee Stock Option (Right to Buy) | $ 15.202 | 05/01/2007 | M | 2,481 | (1) | 12/21/2010 | Common Stock | 2,481 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 18.701 | 05/01/2007 | M | 3,113 | 11/06/2005 | 11/06/2011 | Common Stock | 3,113 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 20.403 | 05/01/2007 | M | 5,556 | (2) | 02/13/2012 | Common Stock | 5,556 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 16.615 | 05/01/2007 | M | 4,668 | (3) | 02/10/2013 | Common Stock | 4,668 | $ 0 | 2,334 | D | ||||
Employee Stock Option (Right to Buy) | $ 20.718 | 05/01/2007 | M | 5,323 | (4) | 02/10/2014 | Common Stock | 5,323 | $ 0 | 9,337 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HARRIS ROY C |
Vice President & CIO |
/s/ Roy C. Harris | 05/03/2007 | |
**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) | Exercisable: 925 on 12/21/2004; 1,556 on 12/21/2005 |
(2) | Exercisable: 888 on 2/13/2005; 2,334 on 2/13/2006; and 2,334 on 2/13/2007 |
(3) | Exercisable: 2,334 on 2/10/2006 and 2,334 on 2/10/2007 |
(4) | Exercisable: 655 on 2/10/2006 and 4,668 on 2/10/2007 |
Remarks: In October 2005, the organizational reporting structure of the Issuer changed and, as a result, the Issuer no longer deemed Mr. Harris a reporting person subject to Section 16 of the Securities Exchange Act of 1934. In December 2006, the organizational reporting structure of the Issuer was altered again, resulting in the Issuer deeming Mr. Harris (as of that date forward) a reporting person subject to Section 16 of the Exchange Act. |