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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 | ||||||||
Director Stock Option (Right to Buy) (4) | $ 41.55 | 01/31/2011 | A | 5,582 | (5) | 01/31/2021 | Class B Common Stock | 5,582 | (4) | 5,582 | D | ||||
Restricted Share Units (6) | (7) | 01/31/2011 | A | 1,685 | 01/31/2012(7) | (7) | Class B Common Stock | 1,685 | (6) | 1,685 | D | ||||
Restricted Share Units (8) | (1) | 01/31/2011 | M | 1,887 | (1) | (1) | Class B Common Stock | 1,887 | (8) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kraft Robert K 1515 BROADWAY NEW YORK, NY 10036 |
X |
/s/ Michael D. Fricklas, Attorney-in-Fact for Robert K. Kraft | 02/02/2011 | |
**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) | Shares of the Issuer's Class B common stock were issued to the Reporting Person on January 31, 2011 upon vesting of previously granted Restricted Share Units "RSUs"). On the date of vesting, the closing price of the Issuer's Class B common stock on the New York Stock Exchange was $41.55 per share. |
(2) | Represents shares of the Issuer's Class B common stock issued to the Reporting Person in respect of dividend equivalents accrued on, and prior to vesting of, the RSUs. |
(3) | Shares are owned directly by KPC US Equity LLC, which is under the sole control of the reporting person, and may be deemed to be beneficially owned by the reporting person. |
(4) | Granted under the Viacom Inc. 2011 Stock Option Plan for Outside Directors for no consideration. |
(5) | The Stock Options will vest annually in three equal installments beginning on January 31, 2012. |
(6) | Granted under the Viacom Inc. 2011 RSU Plan for Outside Directors for no consideration. |
(7) | The Restricted Share Units will vest on January 31, 2012 and will be settled by delivery of a corresponding number of shares of the Issuer's Class B common stock upon vesting, unless the Reporting Person has elected to defer settlement. |
(8) | Granted under the Viacom Inc. 2006 RSU Plan for Outside Directors for no consideration. |