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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 | ||||||||
Stock Option (right to buy) | $ 8.88 | 05/11/2009 | A | 5,000 | (3) | 05/11/2014 | Common Stock | 5,000 | $ 0 | 5,000 | D | ||||
Stock Option (right to buy) | $ 18 | 08/03/2012 | M | 5,000 | 11/05/2008 | 11/05/2013 | Common Stock | 5,000 | $ 18 | 0 | D | ||||
Stock Option (right to buy) | $ 8.88 | 08/03/2012 | M | 3,750 | (3) | 05/11/2014 | Common Stock | 3,750 | $ 8.88 | 1,250 | D | ||||
Stock Option (right to buy) | $ 12.16 | 08/03/2012 | M | 5,000 | 11/06/2009 | 11/06/2014 | Common Stock | 5,000 | $ 12.16 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RAYMOND GEORGE F C/O HEARTLAND PAYMENT SYSTEMS, INC. 90 NASSAU STREET PRINCETON, NJ 08542 |
X |
/s/ George F. Raymond | 08/23/2012 | |
**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 shares of Common Stock of Heartland Payment Systems, Inc. (the "Issuer") were received in connection with a pro rata distribution of shares by Greenhill Capital, L.P. and its affiliated entities to its limited partners and general partners. |
(2) | This price is the weighted average price of the 13,750 shares sold. The prices actually paid for the shares of the Common Stock of the Issuer sold ranged from $30.90 to $31.22. The reporting person will provide to the Issuer, any security holder of the Issuer or the SEC Staff, upon request, information regarding the number of shares sold at each price within the range of prices actually paid. |
(3) | The stock options granted on May 11, 2009 and disclosed in the Form 4 filed on April 22, 2010 vest in four equal annual installments beginning on the first anniversary of the date of grant. As of the date of this filing, 3,750 of the options have vested and 1,250 of the options remain unvested. |