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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 to Purchase Common Stock (right to buy) | $ 32 | 11/18/2013 | M | 21,797 | (5) | 02/02/2017 | Common Stock | 21,797 | $ 0 | 6,680 | D | ||||
Options to Purchase Common Stock (right to buy) | $ 32 | 11/18/2013 | M | 35,156 | (6) | 02/02/2017 | Common Stock | 35,156 | $ 0 | 0 | D | ||||
Options to Purchase Common Stock (right to buy) | $ 30.19 | 11/18/2013 | M | 31,250 | (7) | 05/11/2018 | Common Stock | 31,250 | $ 0 | 87,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Habib Mitchell 770 BROADWAY NEW YORK, NY 10003 |
EVP, Global Business Services |
/s/ Harris Black, Authorized Signatory | 11/20/2013 | |
**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 12,000 restricted stock units of the Issuer, which ratably vest in annual installments over 4 years beginning one year after the grant date (September 25, 2013). |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $40.25 to $40.65, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $40.25 to $40.66, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
(4) | These shares of common stock are held through a limited liability company of which the Reporting Person is a manager. The reporting person disclaims beneficial ownership of the securities held by this limited liability company except to the extent of his pecuniary interest therein. |
(5) | Represents options to purchase shares of common stock of the Issuer, of which 1,758 vested on the grant date (December 31, 2006), 6,680 vested on December 31, 2007, 6,680 vested on December 31, 2009 and 6,680 vested on December 31, 2012. The remaining 6,679 will vest on December 31, 2013. |
(6) | Represents options to purchase shares of common stock of the Issuer, 81% of which were vested at the time of the Issuer's initial public offering and 19% of which vested on December 31, 2011. |
(7) | Represents options to purchase shares of common stock of the Issuer, which ratably vest in four installments over 4 years beginning one year after the grant date (May 11, 2011). |