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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 | ||||||||
Option (Right to Buy) | $ 22 | 12/03/2007 | M | 123 | (2) | 08/06/2014 | Common Stock | 123 | (3) | 250 | D | ||||
Option (Right to Buy) | $ 42.7 | 12/03/2007 | M | 170 | (4) | 02/23/2015 | Common Stock | 170 | (3) | 2,396 | D | ||||
Option (Right to Buy) | $ 46.92 | 12/03/2007 | M | 217 | (5) | 12/21/2014 | Common Stock | 217 | (3) | 5,877 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SHUMAN RICHARD E 425 WEST RANDOLPH STREET CHICAGO, IL 60606 |
SVP, Asia Pacific Sales |
Irene Barberena, Attorney-in-Fact for Richard E. Shuman | 12/03/2007 | |
**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 sold pursuant to Rule 10b5-1 trading plan. |
(2) | The option became exercisable as to 25% of the underlying shares on February 1, 2005. The options continued to become exercisable as to approximately 2.08% of the shares underlying the option grant per month thereafter and will continue to become exercisable as to the remaining shares underlying the option grant at the same rate per month until February 1, 2008. |
(3) | Not applicable. |
(4) | The option became exercisable as to 25% of the underlying shares on February 15, 2006. The option continued to become exercisable as to approximately 2.08% of the shares underlying the option grant per month thereafter and will continue to become exercisable as to the remaining shares underlying the option grant at the same rate per month until February 15, 2009. |
(5) | The option became exercisable as to 25% of the underlying shares on March 1, 2007. The option continued to become exercisable as to approximately 2.08% of the shares underlying the option grant per month thereafter and will continue to become exercisable as to the remaining shares underlying the option grant at the same rate per month until March 1, 2010. |