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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) | $ 28.9375 | 11/13/2003 | M | 18,750 | 05/10/2000(4) | 05/10/2009 | Common Stock | 25,000 | $ 0 | 6,250 | D | ||||
Employee Stock Option (Right to Buy) | $ 25.938 | 11/13/2003 | M | 15,171 | 11/14/2001(4) | 11/14/2010 | Common Stock | 30,000 | $ 0 | 14,829 | D | ||||
Employee Stock Option (Right to Buy) | $ 35.46 | 11/14/2003 | M | 74,375 | 11/14/2002(4) | 11/14/2011 | Common Stock | 74,375 | $ 0 | 74,375 | D | ||||
Employee Stock Option (Right to Buy) | $ 32.49 | 11/13/2002 | A | 80,000 | 11/13/2003(4) | 11/12/2012 | Common Stock | 80,000 | $ 0 | 80,000 | D | ||||
Employee Stock Option (Right to Buy) | $ 43.25 | 11/12/2003 | A | 50,000 | 11/12/2004(4) | 11/12/2013 | Common Stock | 50,000 | $ 0 | 50,000 | D | ||||
Employee Stock Option (Right to Buy) | $ 47.64 | 11/19/2004 | A | 50,000 | 11/19/2005(4) | 11/18/2014 | Common Stock | 50,000 | $ 0 | 50,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JUNCK MARY E LEE ENTERPRISES, INCORPORATED 201 N HARRISON STREET, SUITE 600 DAVENPORT, IA 52801 |
X | Officer, Chairman, Pres. & CEO |
Edmund H. Carroll, Lmtd. POA, Attorney-in-Fact | 11/22/2004 | |
**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) | Cancellation of Reporting Person's previously issued restricted stock in accordance with Section 16b-3(d) of the Exchange Act, in consideration of the grants of restricted stock subject to the vesting restrictions referred to in Footnote 2. |
(2) | Award of restricted stock in accordance with Section 16b-3(d) of the Exchange Act containing vesting restrictions with target amounts of restricted stock, subject to an increase or reduction in share amounts, based upon achievement of performance goals established by the Issuer's Executive Compensation Committee under the Issuer's Incentive Compensation Program. |
(3) | Award of restricted stock in accordance with Section 16b-3(d) in consideration of the cancellation of the restricted stock referred to in Footnote 1, subject to the same vesting restrictions and adjustment provisions referred to in Footnote 2. |
(4) | These securities are exercisable as follows: 30% upon the first anniversary date of the grant; 60% upon the second anniversary date of the grant; and 100% upon the third anniversary date of the grant. |
Remarks: Note that Reporting Person's 11/21/03 Form 4 contained the following inputting errors in Table II: (a) column 5 for each option exercise listed therein should have listed the appropriate shares in column (D) instead of (A); (b) column 9 of the 11/14/03 exercise of 9,000 option shares exercisable at $25.938 should have contained "0" instead of "5,829"; (c) column 7 of the 11/14/03 exercise of 625 option shares exercisable at $35.46 should have contained "74,375" instead of "625"; and (d) the previously reported option award of 75,000 shares at $32.49 was inadvertently omitted. |