UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
2013 Employee Stock Options | 03/20/2013(1) | 03/20/2023 | Common Stock | 3,750 | $ 12.57 | D | Â |
2014 Employee Stock Options | 03/19/2014(1) | 03/19/2024 | Common Stock | 13,500 | $ 16.06 | D | Â |
2015 Employee Stock Options | 03/19/2015(1) | 03/19/2025 | Common Stock | 12,500 | $ 15.26 | D | Â |
2016 Employee Stock Options | 03/23/2016(1) | 03/23/2026 | Common Stock | 15,000 | $ 18.14 | D | Â |
2017 Employee Stock Options | 03/22/2017(1) | 03/22/2027 | Common Stock | 16,500 | $ 19.98 | D | Â |
2018 Employee Stock Options | 02/20/2018(1) | 02/20/2028 | Common Stock | 35,000 | $ 20.98 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HEITKAMP JOHN R JR 307 NORTH MICHIGAN AVENUE SUITE 2300 CHICAGO, IL 60601 |
 |  |  SrVP,Secretary,General Counsel |  |
William J. Dasso, Power of Attorney for John R. Heitkamp, Jr. | 02/27/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | These shares vest and become exerisable each December 31 at the rate of 10% the first year, 15% the second year, 20% the third year, 25% the fourth year and 30% the fifth year. Also vesting shall accelerate if the Optionee dies, becomes disabled, retires or a change of control of the company occurs. For those Optionees over age 65 and who have been employed for 10 years or more by the company on the date of grant, 100% of the option shares vest immediately. |