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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 | ||||||||
Options | $ 12.39 | 03/02/2015 | M | 91,000 | 08/01/2009 | 08/01/2015 | Common Stock | 91,000 | $ 12.39 | 0 | D | ||||
Options | $ 12.39 | 03/02/2015 | M | 110,775 | 08/01/2009 | 08/01/2015 | Common Stock | 110,775 | $ 12.39 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mergenthaler Frank 1114 AVENUE OF THE AMERICAS 19TH FLOOR NEW YORK, NY 10036 |
EVP & CFO |
/s/Robert Dobson POA for Frank Mergenthaler | 03/04/2015 | |
**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) | Involves the exercise of 201,775 options which were set to expire on August 1, 2015 and subsequent sale of the underlying shares. The options were exercised in 2 increments consisting of 91,000 on 3/2/2015 and 110,775 on 3/3/2015. |
(2) | Includes restricted shares which are subject to forfeiture under certain circumstances, |
(3) | Reflects average price of multiple sales on March 2, 2015 ranging from $22.42-$22.58. Mr. Mergenthaler undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(4) | Reflects average price of multiple sales on March 3, 2015 raning from $22.22-$22.48. Mr Mergenthaler undertakes to provide upon request by Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(5) | Open market sale. |