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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 | ||||||||
Options (Right to Buy) | $ 9.25 | 06/12/2007 | D | 40,000 | (7) | 02/27/2008 | Common Stock | 40,000 | (1) | 0 | D | ||||
Options (Right to Buy) | $ 11.92 | 06/12/2007 | D | 12,500 | (8) | 06/30/2011 | Common Stock | 12,500 | (2) | 0 | D | ||||
Options (Right to Buy) | $ 13.5 | 06/12/2007 | D | 1,700 | (9) | 02/25/2010 | Common Stock | 1,700 | (3) | 0 | D | ||||
Options (Right to Buy) | $ 13.5 | 06/12/2007 | D | 10,000 | (10) | 02/25/2010 | Common Stock | 10,000 | (4) | 0 | D | ||||
Options (Right to Buy) | $ 16.03 | 06/12/2007 | D | 5,000 | (11) | 06/30/2010 | Common Stock | 5,000 | (5) | 0 | D | ||||
Options (Right to Buy) | $ 19.01 | 06/12/2007 | D | 7,500 | (12) | 02/23/2012 | Common Stock | 7,500 | (6) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROBERTSON G DARRELL 101 BULLITT LN., STE. 450 LOUISVILLE, KY 40222 |
VP and Pres of subsidiary |
Andrea J. Luescher by Power of Attorney filed with this submission | 06/13/2007 | |
**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) | On June 12, 2007, the issuer canceled, pursuant to the 2007 Stock Option Exchange Program, an option grant awarded on February 28, 2000 to the reporting person. In exchange for this option grant the reporting person received 4,342 shares of common stock, valued at the FMV on the date of the commencement of the Offer, May 14, 2007. |
(2) | On June 12, 2007, the issuer canceled, pursuant to the 2007 Stock Option Exchange Program, an option grant awarded on July 1, 2005 to the reporting person. In exchange for this option grant the reporting person received 3,067 shares of common stock, valued at the FMV on the date of the commencement of the Offer, May 14, 2007. |
(3) | On June 12, 2007, the issuer canceled, pursuant to the 2007 Stock Option Exchange Program, an option grant awarded on February 26, 2002 to the reporting person. In exchange for this option grant the reporting person received 249 shares of common stock, valued at the FMV on the date of the commencement of the Offer, May 14, 2007. |
(4) | On June 12, 2007, the issuer canceled, pursuant to the 2007 Stock Option Exchange Program, an option grant awarded on February 26, 2002 to the reporting person. In exchange for this option grant the reporting person received 1,469 shares of common stock, valued at the FMV on the date of the commencement of the Offer, May 14, 2007. |
(5) | On June 12, 2007, the issuer canceled, pursuant to the 2007 Stock Option Exchange Program, an option grant awarded on July 1, 2002 to the reporting person. In exchange for this option grant the reporting person received 626 shares of common stock, valued at the FMV on the date of the commencement of the Offer, May 14, 2007. |
(6) | On June 12, 2007, the issuer canceled, pursuant to the 2007 Stock Option Exchange Program, an option grant awarded on February 24, 2004 to the reporting person. In exchange for this option grant the reporting person received 1,213 shares of common stock, valued at the FMV on the date of the commencement of the Offer, May 14, 2007. |
(7) | Canceled option provided for vesting in five equal installments beginning on February 28, 2002. |
(8) | Canceled option provided for vesting in increments of 30%, 30%, and 40% on the third, fourth and fifth anniversary date, respectively, beginning on July 1, 2008. On December 31, 2005, by action of the Board of Directors, option was accelerated to immediately vest. |
(9) | Canceled option provided for vesting in five equal installments beginning on February 26, 2004. On March 11, 2005, by action of the Board of Directors, option was accelerated to immediately vest. |
(10) | Canceled option provided for vesting in five equal installments beginning on February 26, 2004. On March 11, 2005, by action of the Board of Directors, option was accelerated to immediately vest. |
(11) | Canceled option provided for vesting in five equal installments beginning on July 1, 2004. On March 11, 2005, by action of the Board of Directors, option was accelerated to immediately vest. |
(12) | Canceled option provided for vesting in five equal installments beginning on February 24, 2006. On March 11, 2005, by action of the Board of Directors, option was accelerated to immediately vest. |