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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 | ||||||||
NON-QUALFIED STOCK OPTION - RIGHT TO BUY | $ 1.67 (1) | 08/10/2000(2) | 08/10/2006 | COMMON STOCK | 3,000 (1) | 3,000 (1) | D | ||||||||
NON-QUALFIED STOCK OPTION - RIGHT TO BUY | $ 5.83 (1) | 08/14/2002(3) | 08/14/2011 | COMMON STOCK | 3,000 (1) | 3,000 (1) | D | ||||||||
NON-QUALFIED STOCK OPTION - RIGHT TO BUY | $ 6.3 (1) | 08/13/2003(4) | 08/13/2012 | COMMON STOCK | 4,500 (1) | 4,500 (1) | D | ||||||||
NON-QUALIFIED STOCK OPTION - RIGHT TO BUY | $ 5.8 (1) | 06/11/2004(5) | 06/11/2013 | COMMON STOCK | 4,500 (1) | 4,500 (1) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PRESLAR B CLYDE C/O ALLIANCE ONE INTERNATIONAL, INC. 8001 AERIAL CENTER PARKWAY MORRISVILLE, NC 27560 |
X |
Henry C. Babb, Attorney-in-fact | 08/11/2006 | |
**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) | This amendment is being filed to correct (i) the conversion or exercise price of derivative securities (the "Exercise Price"), (ii) the amount or number of shares of such derivative securities (the "Number of Shares"), and (iii) the number of derivative securities beneficially owned following reported transaction(s) (the "Number of Beneficially Owned Derivative Securities"), as reported in Columns 2, 7 and 9 of Table II. Although such data was reported correctly in the initial Form 3 filed by the reporting individual on May 25, 2005, as a result of clerical error the Exercise Price, Number of Shares and Number of Beneficially Owned Derivative Securities were reported incorrectly in subsequent filings. |
(2) | The shares underlying this option become exercisable one-fourth on each of the four anniversaries of August 10, 1999, the date of grant, subject to continued employment. |
(3) | The shares underlying this option become exercisable one-fourth on each of the four anniversaries of August 14, 2001, the date of grant, subject to continued employment. |
(4) | The shares underlying this option become exercisable one-fourth on each of the four anniversaries of August 13, 2002, the date of grant, subject to continued employment. |
(5) | The shares underlying this option become exercisable one-fourth on each of the four anniversaries of June 11, 2003, the date of grant, subject to continued employment. |