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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 | |
HERINGTON CHARLES M C/O NII HOLDINGS, INC. 1875 EXPLORER STREET, SUITE 1000 RESTON, VA 20190 |
X |
Shana Smith Attorney-in-Fact | 04/22/2011 | |
**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) | The restricted stock grant will vest over three years, as follows: 33-1/3% on April 20, 2012; 33-1/3% on April 20, 2013; and 33-1/3% on April 20, 2014. |
(2) | Amount beneficially owned reported on column 5 Table I includes 2907 shares of restricted stock vesting 4/22/2012; 1041 shares of restricted stock vesting 4/23/2011; 1041 shares of restricted stock vesting 4/23/2012; 1040 shares of restricted stock vesting 4/23/2013; 952 shares of restricted stock vesting 4/20/2012; 952 shares of restricted stock vesting 4/20/2013; 951 shares of restricted stock vesting 4/20/2014; and 7679.5515 deferred stock units that will become payable the 1st day of the month following reporting person's termination as director of Company or as soon thereafter as administratively practical. Payment of deferred stock unit grants shall be either a)in a lump sum in shares of Company's common stock,with any fractional share paid in cash or b)at Company's election,in a lump sum in cash in an amount equal to the dollar value of the deferred stock units credited to his account on the date his service on the Board ends. |