SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement (Month/Day/Year) |
3. Issuer Name and Ticker or Trading Symbol |
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4. Relationship of Reporting Person(s) to Issuer
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5. If Amendment, Date of Original Filed (Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned |
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1. Title of Security (Instr. 4) |
2. Amount of Securities Beneficially Owned (Instr. 4) |
3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) |
4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock |
132,596 |
D |
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Common Stock |
3,742 |
I |
by 401(k) |
Common Stock |
7 |
I |
By family |
Table II - Derivative Securities Beneficially Owned |
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1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
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Phantom Stock Units |
(1) |
(1) |
Common Stock |
33,338 |
(2) |
D |
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Restricted Stock Units |
(3) |
(3) |
Common Stock |
5,000 |
(2) |
D |
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Restricted Stock Units |
(4) |
(4) |
Common Stock |
6,250 |
(2) |
D |
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Restricted Stock Units |
(5) |
(5) |
Common Stock |
40,000 |
(2) |
D |
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Restricted Stock Units |
(6) |
(6) |
Common Stock |
45,000 |
(2) |
D |
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Restricted Stock Units |
(7) |
(7) |
Common Stock |
40,000 |
(2) |
D |
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Restricted Stock Units |
(8) |
(8) |
Common Stock |
150,000 |
(2) |
D |
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Employee Stock Options (right to buy) (9) |
09/17/2005 |
09/17/2014 |
Common Stock |
42,000 |
34.22 |
D |
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Employee Stock Options (right to buy) (9) |
09/16/2006 |
09/17/2015 |
Common Stock |
48,000 |
34.47 |
D |
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Employee Stock Options (right to buy) (9) |
09/08/2007 |
09/08/2016 |
Common Stock |
55,000 |
34.01 |
D |
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Employee Stock Options (right to buy) (9) |
09/07/2008 |
09/07/2017 |
Common Stock |
62,500 |
38.75 |
D |
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Employee Stock Options (right to buy) (9) |
09/09/2009 |
09/09/2018 |
Common Stock |
75,000 |
28.12 |
D |
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Employee Stock Options (right to buy) (9) |
03/12/2010 |
03/12/2019 |
Common Stock |
140,000 |
9.57 |
D |
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Employee Stock Options (right to buy) (9) |
07/23/2010 |
07/23/2019 |
Common Stock |
400,000 |
11.95 |
D |
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Employee Stock Options (right to buy) (9) |
06/10/2011 |
06/10/2020 |
Common Stock |
550,000 |
15.68 |
D |
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Employee Stock Options (right to buy) (9) |
06/09/2012 |
06/09/2021 |
Common Stock |
700,000 |
18.58 |
D |
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Employee Stock Options (right to buy) (9) |
09/07/2013 |
09/07/2022 |
Common Stock |
700,000 |
21.59 |
D |
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Explanation of Responses: |
1. Reallocable to other investment media. Payable after termination of employment. |
2. 1-for-1 |
3. 20,000 units granted 07/28/2005; 5,000 units vested on 7/28/2008; 5,000 units vested on 7/28/2010; 5,000 vested on 7/28/2012; and 5,000 are scheduled to vest on 7/28/2015. |
4. 25,000 units granted 07/27/2006; 6,250 units vested on 7/27/2009; 6,250 units vested on 7/27/2011; 6,250 vested on 7/27/2013; and 6,250 are scheduled to vest on 7/27/2016. |
5. 100,000 units granted 09/3/2010; 20,000 units vested on 9/3/2011; 20,000 units vested on 9/3/2012; 20,000 units vested on 9/3/2013; 20,000 are scheduled to vest on 9/3/2014; and 20,000 are scheduled to vest on 9/3/2015. |
6. 75,000 units granted 09/2/2011; 15,000 units vested on 9/2/2012; 15,000 units vested on 9/2/2013; 15,000 are scheduled to vest on 9/3/2014; 15,000 are scheduled to vest on 9/2/2015 and 15,000 are scheduled to vest on 9/2/2016. |
7. 50,000 units granted 07/27/2012; 10,000 units vested on 7/27/2013; 10,000 are scheduled to vest on 7/27/2014; 10,000 are scheduled to vest on 7/27/2015; 10,000 are scheduled to vest on 7/27/2016; and 10,000 are scheduled to vest on 7/27/2017. |
8. 150,000 units granted 09/13/2013; 50,000 units are scheduled to vest on 10/1/2014; 50,000 units are scheduled to vest on 10/1/2015; and 50,000 units are scheduled to vest on 10/1/2016. |
9. The options became exercisable in five equal installments of 20% each beginning on the "Date Exercisable" shown to the right, and another 20% each year thereafter. |
Remarks: |
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Eliza W. Fraser on behalf of Daniel Heintzelman |
10/09/2013 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
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* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). |
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** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
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Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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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 Number. |