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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 Appreciation Rights | $ 3.65 | (7) | 04/16/2022 | Common Stock | 50,000 | 50,000 | D | ||||||||
Stock Appreciation Rights | $ 6.89 | (3) | 04/15/2021 | Common Stock | 40,000 | 40,000 | D | ||||||||
Stock Appreciation Rights | $ 4.79 | (4) | 04/01/2020 | Common Stock | 50,000 | 50,000 | D | ||||||||
Options to Purchase Common Stock | $ 2.86 | (5) | 03/18/2019 | Common Stock | 30,000 | 30,000 | D | ||||||||
Options to Purchase Common Stock | $ 4.74 | (6) | 03/19/2018 | Common Stock | 20,000 | 20,000 | D | ||||||||
Options to Purchase Common Stock | $ 3.28 | (6) | 03/21/2017 | Common Stock | 8,919 | 8,919 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Finnegan Kevin 450 W. 33RD STREET 5TH FLOOR NEW YORK, NY 10001 |
EVP, Global Sales & Operations |
Linda Gormezano, attorney-in-fact /s/ Linda Gormezano | 12/17/2012 | |
**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) | Includes 10,001 shares of common stock, 10,000 shares of restricted stock which vests on April 16, 2015, 7,500 shares of restricted stock which vests on April 15, 2014 and 75,000 shares of restricted stock which vests on April 1, 2013. |
(2) | Represents common stock indirectly beneficially owned through the Kevin L. Finnegan 2004 Grantor Retained Annuity Trust. |
(3) | The stock appreciation rights (SARs) vest on April 15, 2014. Each SAR represents the right to receive a payment measured by the increase in the fair market value of one share of common stock from the date of grant of the SAR to the date of exercise of the SAR. Upon exercise the SARs will be settled in stock. |
(4) | The SARs vest on April 1, 2013. Each SAR represents the right to receive a payment measured by the increase in the fair market value of one share of common stock from the date of grant of the SAR to the date of exercise of the SAR. Upon exercise the SARs will be settled in stock. |
(5) | The options become exercisable in four annual installments on the following dates: 7,500 shares on March 18, 2010; 7,500 shares on March 18, 2011; 7,500 shares on March 18, 2012; and 7,500 shares on March 18, 2013. |
(6) | The options are exercisable. |
(7) | The SARs vest on April 16, 2015. Each SAR represents the right to receive a payment measured by the increase in the fair market value of one share of common stock from the date of grant of the SAR to the date of exercise of the SAR. Upon exercise the SARs will be settled in stock. |
Remarks: Except as outlined above, the filing of this Form shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |