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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ADKERSON RICHARD C ONE NORTH CENTRAL AVENUE PHOENIX, AZ 85004 |
X | President and CEO |
Kelly C. Simoneaux, on behalf of Richard C. Adkerson pursuant to a power of attorney | 02/03/2009 | |
**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) | Shares withheld to cover the taxes due upon the vesting of 127,964 Common Stock Restricted Stock Units. |
(2) | Shares withheld to cover the taxes due upon the vesting of 94,346 Common Stock Restricted Stock Units. 28,520 of the net shares issued to the Reporting Person pursuant to the vesting were previously transferred to his former spouse and are no longer included in his beneficial ownership. |
(3) | Based on plan statement as of December 31, 2008. |
Remarks: As of January 31, 2009, Mr. Adkerson's direct beneficial ownership included 684,389 shares of common stock and 633,270 Common Stock Restricted Stock Units. He also held options to acquire a total of 1,750,000 shares of Common Stock, 375,000 of which were vested. Mr. Adkerson has transferred the economic value of 125,000 of such options to his former spouse, and thus disclaims beneficial ownership of such options. |