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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 Options-Right to Buy | $ 19.4261 | (6) | 01/25/2010 | Common Stock | 6,505 | 6,505 | D | ||||||||
Employee Stock Options-Right to Buy | $ 24.2632 | (7) | 01/31/2011 | Common Stock | 7,766 | 7,766 | D | ||||||||
Employee Stock Options-Right to Buy | $ 22.6799 | (8) | 01/30/2012 | Common Stock | 6,078 | 6,078 | D | ||||||||
Employee Stock Options-Right to Buy | $ 24.6905 | (9) | 02/19/2013 | Common Stock | 5,583 | 5,583 | D | ||||||||
Employee Stock Options-Right to Buy | $ 31.5771 | (10) | 01/28/2014 | Common Stock | 7,276 | 7,276 | D | ||||||||
Employee Stock Options-Right to Buy | $ 31.4022 | (11) | 02/10/2015 | Common Stock | 24,883 | 24,883 | D | ||||||||
Employee Stock Options-Right to Buy | $ 34.13 | (12) | 02/10/2016 | Common Stock | 25,109 | 25,109 | D | ||||||||
Employee Stock Options-Right to Buy | $ 47.88 | (13) | 02/10/2017 | Common Stock | 25,092 | 25,092 | D | ||||||||
Employee Stock Options-Right to Buy | $ 23.34 | (14) | 02/10/2018 | Common Stock | 74,384 | 74,384 | D | ||||||||
Phantom Stock Units | (15) | (15) | (15) | Common Stock | 15,436 | 15,436 (15) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KENNEDY STEVEN R 600 E. 96TH ST, #100 INDIANAPOLIS, IN 46240 |
EVP, Construction |
Tracy D. Swearingen for Steven R. Kennedy per POA prev. filed. | 02/12/2009 | |
**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) | Represents an award of restricted stock units pursuant to Rule 16b-3(d) of Section 16b of the Securities Exchange Act of 1934. |
(2) | Represents shares withheld for taxes upon the vesting of restricted stock units granted pursuant to Rule 16b-3 of Section 16b of the Securities Exchange Act of 1934. |
(3) | Securities held by the Steven R. Kennedy Revocable Trust Agreement 12/12/05 in which the Reporting Person is the grantor. |
(4) | Securities held by the Carla J. Kennedy Revocable Trust Agreement 12/12/05 in which the Reporting Person is the grantor. |
(5) | By Steven Kennedy for investment control of the Doris H. Kennedy Living Trust and other securities held by the Reporting Person's parent. The Reporting Person disclaims any beneficial interest in these shares. |
(6) | The Stock Options vested annually at a rate of 20% per year and were fully vested on 1/25/2005. |
(7) | The Stock Options vested annually at a rate of 20% per year and were fully vested on 1/31/2006. |
(8) | The Stock Options vested annually at a rate of 20% per year and were fully vested on 1/30/2007. |
(9) | The Stock Options vested annually at a rate of 20% per year and were fully vested on 2/19/2008. |
(10) | The Stock Options vested annually at a rate of 20% per year and were fully vested on 1/28/2009. |
(11) | The Stock Options vest annually at a rate of 20% per year and will be fully vested on 2/10/2010. |
(12) | The Stock Options vest annually at a rate of 20% per year and will be fully vested on 2/10/2011. |
(13) | The Stock Options vest annually at a rate of 20% per year and will be fully vested on 2/10/2012. |
(14) | The Stock Options vest annually at a rate of 20% per year and will be fully vested on 2/10/2013. |
(15) | Represents phantom stock units vested under the 2000 Performance Share Plan of Duke Realty Corporation. The units are valued on a one to one basis to the Company's common stock and are to be settled in cash upon the Reporting Person's termination of employment. |