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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 Option | $ 6.45 | 11/10/2004 | A | 2,250 | 11/10/2004 | 11/10/2014 | Common Stock | 2,250 | $ 0 | 2,250 | D | ||||
Deferred Stock Units (4) | (2) | 11/10/2004 | A | 2,250 | (3) | (3) | Common Stock | 2,250 | $ 0 | 2,250 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KELLER THOMAS F FUQUA SCHOOL OF BUSINESS-DUKE UNIVERSITY BOX 90120, 134 TOWERVIEW DRIVE DURHAM, NC 27708-0120 |
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Thomas C. Parrish, Attorney-in-fact | 11/12/2004 | |
**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) | 3,000 shares held by Keller Bros. Investments LLP. |
(2) | 1-for-1 |
(3) | The deferred stock units become payable, in common stock, upon the reporting person's termination of service as a director. |
(4) | Pursuant to the Company's compensation deferral plan, the reporting person received 2,250 deferred stock units under that plan upon deferral of a grant of 2,250 shares of restricted stock on the same date. The restricted shares deferred remain restricted for one year from the date of the award, provided the recipient remains on the Board of the Company. |
(5) | Adjusted to reflect shares acquired through a dividend reinvestment plan. |
Remarks: Exhibit List: Exhibit 24 - Power of Attorney |