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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Stock Option (Right to Buy) | $ 32.39 | Â | Â | Â | Â | Â | Â (5) | 02/18/2015 | Common Stock | Â | 2,500 | Â | ||
Stock Option (Right to Buy) | $ 39.13 | Â | Â | Â | Â | Â | Â (5) | 02/17/2016 | Common Stock | Â | 2,500 | Â | ||
Stock Option (Right to Buy) | $ 35.23 | Â | Â | Â | Â | Â | Â (5) | 02/16/2017 | Common Stock | Â | 5,000 | Â | ||
Stock Option (Right to Buy) | $ 33.43 | Â | Â | Â | Â | Â | Â (5) | 05/21/2018 | Common Stock | Â | 7,114 | Â | ||
Stock Option (Right to Buy) | $ 22.42 | Â | Â | Â | Â | Â | Â (6) | 05/19/2020 | Common Stock | Â | 3,000 | Â | ||
Stock Option (Right to Buy) | $ 20.54 | Â | Â | Â | Â | Â | Â (7) | 02/18/2021 | Common Stock | Â | 6,849 | Â | ||
Stock Option (Right to Buy) | $ 23.96 | Â | Â | Â | Â | Â | Â (8) | 02/15/2023 | Common Stock | Â | 6,780 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ERNST BARRIE W 118 SECOND AVENUE SE P.O. BOX 73909 CEDAR RAPIDS, IA 52407-3909 |
 |  |  VP/Chief Investment Officer |  |
/s/ Barrie W. Ernst by Dianne M. Lyons, Attorney-in-Fact | 02/13/2014 | |
**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 acquired through participation in Issuer's Dividend Reinvestment Plan. |
(2) | The total number of securities beneficially held directly by the Reporting Person following the reported transaction includes: 1,320 shares of stock held individually by Mr. Ernst; 2,714 shares of restricted stock issued under the Issuer's 2008 Stock Plan which vest, subject to certain conditions, on 02/18/2016; and 1,933 shares of restricted stock issued under the Issuer's 2008 Stock Plan which vest, subject to certain conditions, on 02/15/2018. |
(3) | The total number of securities beneficially held directly by the Reporting Person following the reported transaction includes: 1,329 shares of stock held individually by Mr. Ernst; 2,714 shares of restricted stock issued under the Issuer's 2008 Stock Plan which vest, subject to certain conditions, on 02/18/2016; and 1,933 shares of restricted stock issued under the Issuer's 2008 Stock Plan which vest, subject to certain conditions, on 02/15/2018. |
(4) | The number of securities shown as being held in, acquired or disposed of by the Issuer's 401(k) Plan for the Reporting Person's benefit are the approximate number of shares of common stock (excluding fractionals) for which the Reporting Person has the right to direct the vote under the Issuer's 401(k) Plan. Such shares are not directly allocated to 401(k) Plan participants, but are instead held in a unitized fund consisting primarily of common stock, together with a small percentage of short-term investments. 401(k) Plan participants acquire units of this fund. |
(5) | All options currently exercisable. |
(6) | 1,800 options currently exercisable; 1,200 options become exercisable in two (2) equal installments of 600 options each on 05/19/2014 and 05/19/2015, respectively. |
(7) | 2,739 options currently exercisable; 4,110 options become exercisable in three (3) equal installments on 02/18/2014, 02/18/2015 and 02/18/2016, respectively. |
(8) | 6,780 options become exercisable in five (5) equal installments of 1,356 options each on 02/15/2014, 02/15/2015, 02/15/0216, 02/15/2017 and 02/15/2018 respectively. |