|
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 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to buy) | $ 34.09 (2) | 12/13/2002 | 12/13/2011 | Common Stock | 16,599 | 16,599 | D | ||||||||
Employee Stock Option (Right to buy) | $ 37.96 (3) | 12/12/2003 | 12/12/2012 | Common Stock | 16,967 | 16,967 | D | ||||||||
Employee Stock Option (Right to buy) | $ 44.73 (4) | 12/10/2004 | 12/10/2013 | Common Stock | 14,404 | 14,404 | D | ||||||||
Employee Stock Option (Right to buy) | $ 48.11 (5) | 12/08/2005 | 12/08/2014 | Common Stock | 16,000 | 16,000 | D | ||||||||
Employee Stock Option (Right to buy) | $ 48.36 (6) | 02/14/2009 | 02/14/2018 | Common Stock | 26,919 | 26,919 | D | ||||||||
Employee Stock Option (Right to buy) | $ 52.73 (7) | 12/07/2007 | 12/07/2016 | Common Stock | 14,348 | 14,348 | D | ||||||||
Employee Stock Option (Right to buy) | $ 54.85 (8) | 12/07/2006 | 12/07/2015 | Common Stock | 13,585 | 13,585 | D | ||||||||
Employee Stock Option (Right to buy) | $ 58.65 (9) | 05/17/2008 | 05/17/2017 | Common Stock | 2,050 | 2,050 | D | ||||||||
Performance Rights | $ 0 (10) | 12/31/2009(10) | 03/31/2010 | Common Stock | 354 | 354 | D | ||||||||
Performance Rights | $ 0 (11) | 01/01/2010(12) | 06/30/2010 | Common Stock | 1,851 | 1,851 | D | ||||||||
Performance Rights | $ 0 (11) | 01/01/2011(12) | 06/30/2011 | Common Stock | 4,940 | 4,940 | D | ||||||||
Performance Rights | $ 0 (11) | 01/01/2012(12) | 06/30/2012 | Common Stock | 22,319 | 22,319 | D | ||||||||
Phantom Stock Unit | (13) | (14) | (15) | Common Stock | 22,712.6454 | 22,712.6454 | D | ||||||||
Restricted Stock Units 2008 | (16) | (17) | (17) | Common Stock | 1,491.2794 | 1,491.2794 | D | ||||||||
Restricted Stock Units 2009 | (16) | (18) | (18) | Common Stock | 7,956.8312 | 7,956.8312 | D | ||||||||
Stock Option (Right to buy) | $ 42.12 (19) | 02/12/2010 | 02/12/2019 | Common Stock | 94,172 | 94,172 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCHROCK CHARLES A 130 EAST RANDOLPH DRIVE CHICAGO, IL 60601 |
X | President & CEO |
By: Dane E. Allen, as Power of Attorney For: Mr. Schrock | 12/09/2009 | |
**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) | Reflects the withholding of shares to satisfy tax payment for vested shares of Restricted Stock Awards under the Company's 2005 Omnibus Incentive Compensation Plan. Under the terms of the plan, the fair market value of any fractional share of Common Stock not used to satisfy the withholding obligation will be paid in cash at the tme the RSA's are settled. |
(2) | The option vests in four equal annual installments beginning on December 13, 2002. |
(3) | The option vests in four equal annual installments beginning on December 12, 2003. |
(4) | The option vests in four equal annual installments beginning on December 10, 2004. |
(5) | The option vests in four equal annual installments beginning on December 8, 2005. |
(6) | The option vests in four equal annual installments beginning on February 14, 2009. |
(7) | The option vests in four equal annual installments beginning on December 7, 2007. |
(8) | The option vests in four equal annual installments beginning on December 7, 2006. |
(9) | The option vests in four equal annual installments beginning on May 17, 2008. |
(10) | The final number of shares issued will be based on company performance against an established industry benchmark for the performance period April 1, 2007, to December 31, 2009. |
(11) | Performance rights vest and are issued three years after the performance rights are awarded and the final number of shares issued is determined based on company performance against an established industry benchmark. |
(12) | Performance rights vest and are issued three years after the performance rights are awarded and the final number of shares issued is determined based on company performance against an established industry benchmark. |
(13) | These phantom stock units convert to common stock on a one-for-one basis. |
(14) | Unless the participant has selected a later commencement date, distribution of stock and equivalents will commence within 60 days following the end of the calendar year in which occurs the participant's retirement or termination of service. |
(15) | Unless the participant has selected a later commencement date, distribution of stock and equivalents will commence within 60 days following the end of the calendar year in which occurs the participant's retirement or termination of service. |
(16) | Each restricted stock unit represent a contingent right to receive one share of TEG common stock. |
(17) | The restricted stock units vest in four equal annual installments beginning on February 14, 2009. |
(18) | The restricted stock units vest in four equal annual installments beginning on February 12, 2010. |
(19) | The option vests in four equal annual installments beginning on February 12, 2010. |