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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KEISER KENNETH E 4000 DAIN RAUSCHER PLAZA 60 S. 6TH ST. MINNEAPOLIS, MN 55402 |
President/COO |
/s/ Brian D. Wenger, attorney-in-fact | 10/24/2008 | |
**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 October 16, 2008, the reporting person exchanged $7,973.49 into the PAS Stock Fund. This purchased 596.818 units of the PAS Stock Fund. The actual closing stock price on that date was $16.77, resulting in the purchase of 475.462 share equivalents. |
(2) | On October 17, 2008, the reporting person exchanged $178,656.03 into the PAS Stock Fund. This purchased 13,442.891 units of the PAS Stock Fund. The actual closing stock price on that date was $16.67, resulting in the purchase of 10,717.218 share equivalents. |
(3) | On October 23, 2008, the reporting person exchanged $194,309.57 out of the PAS Stock Fund. This sold 14,039.709 units of the PAS Stock Fund. The actual closing stock price on that date was $17.40, resulting in the sale of 11,167.221 share equivalents. |
(4) | On October 16 and 17, 2008, the reporting person disposed of certain securities within his 401(k) plan and inadvertently authorized Fidelity to invest such funds in the PAS Stock Fund. The reporting person then unwound the transaction by selling such units on October 23, 2008. Because this constitutes a short-swing transaction, the reporting person has paid the issuer the associated short-swing profit. Although the number of shares shown as purchased and sold do not match, the number of units purchased and sold do match. The reporting person had no holdings in the PAS Stock Fund prior to his October 16 and 17, 2008 purchases, and has no holdings in the PAS Stock Fund following his October 23, 2008 sale. |
(5) | Includes shares underlying the following restricted stock awards: (a) 60,646 shares under the award granted on February 28, 2008, which vests in its entirety on February 28, 2011, (b) 60,000 shares under an award granted on February 22, 2007, which vests in its entirety on February 22, 2010, and (c) 69,000 shares under an award granted on February 23, 2006, which vests in its entirety on February 23, 2009. Also includes 113,000 shares under a performance-based restricted stock award granted on February 22, 2007. |