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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 | ||||||||
Nonqualified Stock Options (right to buy) | $ 21.43 | 11/08/2010(3) | 11/08/2017 | Common Stock | 7,466 | 7,466 | D | ||||||||
Restricted Stock Units | (4) | (5) | (5) | Common Stock | 3,733 | 3,733 | D | ||||||||
Incentive Stock Option (right to buy) | $ 14.03 | 06/01/2001 | 06/01/2011 | Common Stock | 14,784 | 14,784 | D | ||||||||
Nonqualified Stock Option (right to buy) | $ 22.81 | 06/05/2003 | 06/05/2013 | Common Stock | 11,993 | 11,993 | D | ||||||||
Incentive Stock Option (right to buy) | $ 22.81 | 06/05/2003 | 06/05/2013 | Common Stock | 6,507 | 6,507 | D | ||||||||
Nonqualified Stock Option (right to buy) | $ 32.26 | 11/25/2005 | 05/10/2014 | Common Stock | 10,000 | 10,000 | D | ||||||||
Nonqualified Stock Option (right to buy) | $ 50.09 | 04/01/2005 | 04/01/2015 | Common Stock | 2,500 | 2,500 | D | ||||||||
Incentive Stock Option (right to buy) | $ 50.09 | 04/01/2005 | 04/01/2015 | Common Stock | 2,500 | 2,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lowenstein Arnold J 200 CLARENDON STREET, T-33 BOSTON, MA 02116 |
EVP, Chief Strategy Officer |
Delia J. Makhlouta, by power of attorney | 01/07/2011 | |
**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 sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. |
(2) | This price represents the weighted average purchase price of multiple transactions on the reported date at prices that ranged between $22.9101 and $23.15. Full information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer. |
(3) | Date indicated is the date of grant. Option vests in four equal installments beginning on the first anniversary of the date of grant. |
(4) | Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock; vested restricted stock units are payable in the form of cash, shares of the Issuer's common stock or a combination thereof. |
(5) | The restricted stock units vest in four equal annual installments beginning November 8, 2011. Vested shares will be delivered to the reporting person as soon as possible after vesting. |