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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 | ||||||||
Employee Stock Option (Right to Buy) | $ 11.53 (2) | 08/20/2007 | D | 5,000 | (2) | 12/02/2012 | Common Stock | 5,000 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 11.43 (2) | 08/20/2007 | D | 3,535 | (2) | 07/16/2013 | Common Stock | 3,535 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 11.98 (2) | 08/20/2007 | D | 17,000 | (2) | 07/08/2015 | Common Stock | 17,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Beckelman Lee E 12001 N. HOUSTON ROSSLYN HOUSTON, TX 77086 |
Chief Financial Officer |
Suzanne B. Kean, Attorney-in-fact | 08/20/2007 | |
**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) | The shares of common stock were disposed pursuant to the Agreement and Plan of Merger, dated February 5, 2007, as amended, among Universal Compression Holdings, Inc. (?Universal?), Exterran Holdings, Inc. (?Exterran?), Ulysses Sub, Inc., a wholly owned subsidiary of Exterran, Hector Sub, Inc., a wholly owned subsidiary of Exterran, and Hanover Compressor Company (?Hanover?) (the ?Merger Agreement?). As a result of the mergers contemplated by the Merger Agreement, Universal and Hanover became wholly owned subsidiaries of Exterran and the reporting person has the right to receive 0.325 shares of Exterran common stock for each share of Hanover common stock and the right to receive cash for any fractional share the reporting person otherwise would receive pursuant to the mergers. |
(2) | Pursuant to the Merger Agreement, each outstanding and unvested stock option of the reporting person granted under the Hanover equity incentive plans became fully vested and any outstanding Hanover stock option will convert to an option to acquire Exterran common stock, on the same terms and conditions as were applicable under that Hanover stock option, at an exchange rate of 0.325 to 1 (rounded to the nearest whole share) and at a price per share equal to the price per share under the Hanover option divided by 0.325 (rounded down to nearest whole cent). |