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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 (Rights to Buy) | $ 17.62 | 09/02/2011 | D(1) | 125,000 | (1) | 09/05/2011 | Common Stock | 125,000 | (1) | 0 | D | ||||
Stock Options (Rights to Buy) | $ 17.62 | 09/02/2011 | A(1) | 125,000 | (1) | 09/05/2012 | Common Stock | 125,000 | (1) | 125,000 | D | ||||
Stock Options (Rights to Buy) | $ 17.62 | 09/02/2011 | D(2) | 75,000 | (2) | 09/05/2011 | Common Stock | 75,000 | (2) | 0 | D | ||||
Stock Options (Rights to Buy) | $ 17.62 | 09/02/2011 | A(2) | 75,000 | (2) | 09/05/2012 | Common Stock | 75,000 | (2) | 75,000 | D | ||||
Stock Options (Rights to Buy) | $ 14.82 | 09/02/2011 | D(3) | 100,000 | (3) | 09/05/2011 | Common Stock | 100,000 | (3) | 0 | D | ||||
Stock Options (Rights to Buy) | $ 14.82 | 09/02/2011 | A(3) | 100,000 | (3) | 09/05/2012 | Common Stock | 100,000 | (3) | 100,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gasior F Morgan 15W060 NORTH FRONTAGE ROAD BURR RIDGE, IL 60527 |
X | Chairman, CEO & President |
/s/ F. Morgan Gasior | 09/06/2011 | |
**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) | The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The Stock Option Award was originally granted on September 5, 2006 and vested ratably over five annual installments commencing December 15, 2006. |
(2) | The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The stock option award was originally granted on September 5, 2006 and vested equally over the three performance periods: the year ended December 31, 2006 and the 9 months ended September 30, 2007 and 2008. All performance criteria were met, resulting in the vesting of all 75,000 options. |
(3) | The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The Stock Option Award was originally granted on February 26, 2008 and vested immediately upon grant. |