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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 | ||||||||
Incentive Stock Options (right to buy) | $ 10.34 | 02/10/1999(2) | 02/10/2008 | Common Stock | 36,017 | 36,017 | D | ||||||||
Incentive Stock Options (right to buy) | $ 8.69 | 02/12/2003(3) | 02/12/2009 | Common Stock | 48,024 | 48,024 | D | ||||||||
Incentive Stock Options (right to buy) | $ 6.94 | 02/11/2007(4) | 02/11/2010 | Common Stock | 32,730 | 32,730 | D | ||||||||
Incentive Stock Options (right to buy) | $ 14.6 | 02/06/2010(5) | 02/06/2012 | Common Stock | 13,711 | 13,711 | D | ||||||||
Non-qualified Stock Options (right to buy) | $ 6.94 | 02/11/2001(6) | 02/11/2010 | Common Stock | 6,708 | 6,708 | D | ||||||||
Non-qualified Stock Options (right to buy) | $ 14.6 | 02/06/2003(6) | 02/06/2012 | Common Stock | 24,089 | 24,089 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TIETJEN JOHN W 650 FIFTH AVENUE 4TH FLOOR NEW YORK, NY 10019 |
EVP and CFO |
/s/ Tietjen, John W | 05/15/2007 | |
**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) | Reporting person has shared voting and investment power with respect to these securities (to the extent he has not disclaimed ownership thereof), except for 240 shares held in a profit sharing plan, as to which he has the power to direct the vote. |
(2) | Options became exercisable in two installments on the first anniversary of the grant, for a term of 10 years from date of grant (first exercisable date listed). |
(3) | Options become exercisable, commencing on fourth anniversary of the grant, in installments over a five-year period for a term of 10 years from grant date (first exercisable date listed). |
(4) | Options become exercisable in three installments commencing on the seventh anniversary of the grant date and for a term of 10 years from grant date (first exercisable date listed). |
(5) | Options become exercisable in two installments commencing on the eighth anniversary of the grant date and for a term of 10 years from grant date (first exercisable date listed). |
(6) | Non-qualified options are exercisable commencing on the first anniversary of the grant for a term of 10 years from grant date (first exercisable date listed). |