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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 | ||||||||
Option (right to buy) | $ 30.96 | (2) | 04/01/2013 | common stock | 500,000 | 500,000 | D | ||||||||
Option (right to buy) | $ 24.49 | (3) | 11/18/2010 | common stock | 51,500 | 51,500 | D | ||||||||
Option (right to buy) | $ 31.71 | (3) | 12/09/2011 | Common Stock | 90,130 | 90,130 | D | ||||||||
Option (right to buy) | $ 26.47 | (3) | 05/31/2012 | Common Stock | 300,000 | 300,000 | D | ||||||||
Option (right to buy) (4) | $ 24.75 | (3) | 12/06/2012 | Common Stock | 135,000 | 135,000 | D | ||||||||
Option (right to buy) (4) | $ 25.88 | (3) | 12/11/2013 | Common Stock | 314,530 | 314,530 | D | ||||||||
Stock Units | (5) | (7) | (7) | Common Stock | 17,190.8 | 17,190.8 | D | ||||||||
Stock Units | (5) | (7) | (7) | Common Stock | 28,097.97 (8) | 28,097.97 (8) | D | ||||||||
Resticted Stock Units | (5) | (7) | (7) | common stock | 25,000 (9) | 25,000 (9) | D | ||||||||
Restricted Stock Units (10) | (5) | 12/14/2006 | A | 172.46 (6) | 12/31/2006(11) | 12/31/2006(11) | Common Stock | 172.46 | $ 0 | 18,225.95 | D | ||||
Stock Units (12) | (5) | 12/31/2006 | F | 264.28 (13) | (7) | (7) | Common Stock | 264.28 | $ 0 | 17,961.67 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PEREZ ANTONIO M 343 STATE STREET ROCHESTER, NY 14650 |
X | President, Chairman & CEO |
Patrick M. Sheller, as attorney-in-fact for Antonio M. Perez | 01/03/2007 | |
**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) | Some of these shares are restricted. |
(2) | Employee stock option granted under the 1997 Stock Option Plan in a transaction exempt under Rule 16b-3. One-half of the options vest on the second anniversary of the date of grant; the balance vest on the fifth anniversary. |
(3) | These options vest one-third on each of the first three anniversaries of the date of grant. |
(4) | Stock option granted under the 2005 Omnibus Long-Term Compensaton Plan. |
(5) | These units convert on a one-to-one basis. |
(6) | These units were credited to the reporting person's account as dividend equivalents. |
(7) | This date is not applicable to these units. |
(8) | 25,000 of 50,000 RSUs lapsed. This total included dividend equivalents reported separately which were not resticted. |
(9) | Balance of RSUs that lapsed on 10-1-06 |
(10) | Theses units granted under the 2000 Omnibus Long-Term Compensation Plan; Leadership Stock Program, 2004-2005 cycle. |
(11) | This is the date these restricted stock units will vest. |
(12) | Vesting and distribution of shares of the Leadership Stock Program, 2004-2005 cycle. |
(13) | Payment of withholding taxes. |