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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 | ||||||||
Phantom Shares (1) | (2) | 01/03/2005 | A | 6,000 | (3) | (3) | Common Stock | 6,000 | (4) | 31,895.621 | D | ||||
Option to Buy (5) | $ 5.228 | 04/17/1995 | 04/17/2005 | Common Stock | 4,000 | 4,000 | D | ||||||||
Option to Buy (5) | $ 10.347 | 04/22/1996 | 04/22/2006 | Common Stock | 4,000 | 4,000 | D | ||||||||
Option to Buy (5) | $ 11.65 | 04/28/1997 | 04/28/2007 | Common Stock | 4,000 | 4,000 | D | ||||||||
Option to Buy (5) | $ 16.125 | 04/27/1998 | 04/27/2008 | Common Stock | 4,000 | 4,000 | D | ||||||||
Option to Buy (5) | $ 22.4375 | 04/26/1999 | 04/26/2009 | Common Stock | 9,000 | 9,000 | D | ||||||||
Option to Buy (5) | $ 29.0938 | 04/19/2000 | 04/19/2010 | Common Stock | 9,000 | 9,000 | D | ||||||||
Option to Buy (6) | $ 22.8438 | 01/02/2001 | 01/02/2011 | Common Stock | 3,250 | 3,250 | D | ||||||||
Option to Buy (5) | $ 24.915 | 04/30/2001 | 04/30/2011 | Common Stock | 9,000 | 9,000 | D | ||||||||
Option to Buy (5) | $ 6.69 | 04/29/2002 | 04/29/2012 | Common Stock | 9,000 | 9,000 | D | ||||||||
Option to Buy (5) | $ 4.51 | 04/29/2003 | 04/29/2013 | Common Stock | 9,000 | 9,000 | D | ||||||||
Option to Buy (5) | $ 4.245 | 04/23/2004 | 04/23/2014 | Common Stock | 9,000 | 9,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SHARROCK DAVID B 201 EAST FOURTH STREET CINCINNATI, OH 45202 |
X |
Amy Collins, Attorney-in-fact for David B. Sharrock | 01/04/2005 | |
**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) | Phantom shares held through the Cincinnati Bell Inc. Deferred Compensation Plan for Outside Directors, which is a Rule 16b-3 Plan. |
(2) | Phantom shares convert 1 for 1 in common shares. |
(3) | Phantom shares are payable in common stock following retirement or termination of the reporting person's affiliation with the Company. |
(4) | Phantom shares are valued at the fair market price of the Issuer's common stock price on grant date. |
(5) | Option shares granted under the 1997 Stock Option Plan for Non-Employee Directors which is a Rule 16b-3 Plan. |
(6) | Option shares granted under the 1997 Stock Option Plan for Non-Employee Directors which is a Rule 16b-3 Plan. Under the terms of 1997 Stock Option Plan for Non-Employee Directors which is a Rule 16b-3 Plan, reporting person elected to defer a percentage of his annual retainer fee and per meeting fees in exchange for options. |