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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 | ||||||||
Non-Qualified Stock Option (right to buy DV001443) | $ 8.0206 | 06/30/1999(3) | 06/30/2009 | Common Stock | 973 (4) | 973 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DV001428) | $ 10.1707 | 06/29/2001(3) | 06/29/2011 | Common Stock | 973 (4) | 973 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DV001438) | $ 18.1003 | 06/30/2003(3) | 06/30/2013 | Common Stock | 1,760 (4) | 1,760 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DV001440) | $ 21.4389 | 06/30/2004(3) | 06/30/2014 | Common Stock | 324 (4) | 324 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DV001430) | $ 25.3078 | 06/30/2006(3) | 06/30/2016 | Common Stock | 1,760 (4) | 1,760 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GREEN STEPHEN L 285 RIVERSIDE AVENUE SUITE 250 WESTPORT, CT 06880 |
X |
Katherine K. Connell, Attorney-In-Fact | 04/02/2009 | |
**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) | These are shares of restricted stock issued in payment of fees owed for services as an independent director. All such shares are subject to vesting in three equal increments, with the first vesting occurring as of the date the shares were issued and then annually thereafter. |
(2) | Includes 2,220 shares of Common Stock from deferred stock units that have vested, and the reporting person has elected to defer receipt until he is no longer a member of the Issuer's Board of Directors. |
(3) | The options are fully vested and immediately exercisable upon grant. |
(4) | Pursuant to a Separation Agreement, the reporting person transferred options to his former spouse. Since the date of the reporting person's last report, the number of shares previously reported as being beneficially owned following the separation agreement has been decreased by one share due to rounding. |