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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-Qualified Stock Option (right to buy SI001316) | $ 8.0206 | 06/30/1999(3) | 06/30/2009 | Common Stock | 11,250 (4) | 11,250 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DV001426) | $ 8.0206 | 06/30/1999(3) | 06/30/2009 | Common Stock | 5,282 (4) | 5,282 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy T0000632) | $ 8.0206 | 06/30/1999(3) | 06/30/2009 | Common Stock | 2,073 (4) | 2,073 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DV001443) | $ 8.0206 | 06/30/1999(3) | 06/30/2009 | Common Stock | 974 (4) | 974 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy SI001801) | $ 9.3614 | 06/30/2000(3) | 06/30/2010 | Common Stock | 11,250 (4) | 11,250 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DV001436) | $ 9.3614 | 06/30/2000(3) | 06/30/2010 | Common Stock | 5,282 (4) | 5,282 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy T0000636) | $ 9.3614 | 06/30/2000(3) | 06/30/2010 | Common Stock | 2,073 (4) | 2,073 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DV001431) | $ 9.3614 | 06/30/2000(3) | 06/30/2010 | Common Stock | 974 (4) | 974 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy SF002503) | $ 10.1707 | 06/29/2001(3) | 06/29/2011 | Common Stock | 11,250 (4) | 11,250 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DV001433) | $ 10.1707 | 06/29/2001(3) | 06/29/2011 | Common Stock | 5,282 (4) | 5,282 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy T0000641) | $ 10.1707 | 06/29/2001(3) | 06/29/2011 | Common Stock | 2,073 (4) | 2,073 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DV001428) | $ 10.1707 | 06/29/2001(3) | 06/29/2011 | Common Stock | 974 (4) | 974 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DF002166) | $ 14.2351 | 07/01/2002(3) | 07/01/2012 | Common Stock | 11,250 (4) | 11,250 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DV001437) | $ 14.2351 | 07/01/2002(3) | 07/01/2012 | Common Stock | 5,282 (4) | 5,282 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy T0000647) | $ 14.2351 | 07/01/2002(3) | 07/01/2012 | Common Stock | 2,073 (4) | 2,073 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DV001427) | $ 14.2351 | 07/01/2002(3) | 07/01/2012 | Common Stock | 974 (4) | 974 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DF002876) | $ 18.1003 | 06/30/2003(3) | 06/30/2013 | Common Stock | 3,750 (4) | 3,750 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DV001438) | $ 18.1003 | 06/30/2003(3) | 06/30/2013 | Common Stock | 1,761 (4) | 1,761 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy T0000813) | $ 18.1003 | 06/30/2003(3) | 06/30/2013 | Common Stock | 691 (4) | 691 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DV001439) | $ 18.1003 | 06/30/2003(3) | 06/30/2013 | Common Stock | 325 (4) | 325 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DF003664) | $ 21.4389 | 06/30/2004(3) | 06/30/2014 | Common Stock | 3,750 (4) | 3,750 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DV001442) | $ 21.4389 | 06/30/2004(3) | 06/30/2014 | Common Stock | 1,761 (4) | 1,761 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy T0000786) | $ 21.4389 | 06/30/2004(3) | 06/30/2014 | Common Stock | 691 (4) | 691 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DV001440) | $ 21.4389 | 06/30/2004(3) | 06/30/2014 | Common Stock | 325 (4) | 325 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DF905918) | $ 23.9808 | 06/30/2005(3) | 06/30/2015 | Common Stock | 3,750 (4) | 3,750 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DV001429) | $ 23.9808 | 06/30/2005(3) | 06/30/2015 | Common Stock | 1,761 (4) | 1,761 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DF005291) | $ 25.3078 | 06/30/2006(3) | 06/30/2016 | Common Stock | 3,750 (4) | 3,750 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DV001430) | $ 25.3078 | 06/30/2006(3) | 06/30/2016 | Common Stock | 1,761 (4) | 1,761 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DF005996) | $ 31.87 | 06/29/2007(3) | 06/29/2017 | Common Stock | 3,750 (4) | 3,750 (4) | D | ||||||||
Non-Qualified Stock Option (right to buy DF006485) | $ 19.62 | 06/30/2008(5) | 06/30/2018 | Common Stock | 3,750 (4) | 3,750 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GREEN STEPHEN L 285 RIVERSIDE AVENUE SUITE 250 WESTPORT, CT 06880 |
X |
Katherine K. Connell, Attorney-In-Fact | 01/05/2009 | |
**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) | These are restricted shares issued under the Issuer's 2007 Stock Incentive Plan in payment of fees owed for services as an independent director. All such shares are subject to vesting in three equal increments, with the first vesting occurring as of the date the shares were issued and then annually thereafter. |
(2) | Includes 2,220 shares of Restricted Stock Units ("RSUs") which have vested and for which the reporting person has opted to defer receipt until a future date. This amount has been reduced since the date of the reporting person's last Form 4, due to a transfer of such deferred shares to his former spouse pursuant to a Separation Agreement. |
(3) | The options were automatically granted under the Issuer's 1997 Amended and Restated Stock Option and Restricted Stock Plan, and are fully vested and immediately exercisable upon grant. |
(4) | Since the date of the reporting person's last Form 4, he has transferred options for shares of Issuer's stock to his former spouse pursuant to a Separation Agreement. |
(5) | The options were granted automatically under the Issuer's 2007 Stock Incentive Plan, and are fully vested and immediately exercisable upon grant. |
Remarks: CONTINUED ON ADDITIONAL FORM 4 FILED ON THIS SAME DATE. |