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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 Option (Right to Buy) | $ 7.35 | (3) | 11/15/2014 | Common Stock | 150,000 | 150,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 9.15 | (4) | 02/18/2014 | Common Stock | 75,000 | 75,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 13 | (5) | 02/14/2011 | Common Stock | 7,200 | 7,200 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 25.07 | (6) | 12/17/2018 | Common Stock | 39,458 | 39,458 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 35.92 | (7) | 12/13/2016 | Common Stock | 28,801 | 28,801 | D | ||||||||
mployee Stock Option (Right to Buy) | $ 45.38 | (8) | 12/12/2017 | Common Stock | 19,555 | 19,555 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KNIGHT EDWARD S ONE LIBERTY PLAZA NEW YORK, NY 10006 |
Executive Vice President |
/s/ Edward S. Knight | 07/02/2009 | |
**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) | Restricted stock vests as to 30% on June 30, 2011 and as to 70% on June 30, 2012. |
(2) | Represents (i) 10,555 shares of common stock acquired upon exercise of vested stock options, (ii) 59,813 shares or units of restricted stock of which 198 are vested, (iii) 10,743 unvested shares underlying PSUs and (iv) 13,069 shares purchased pursuant to the Employee Stock Purchase Plan. |
(3) | Options vested as to 100%. |
(4) | Options vested as to 100%. |
(5) | Options vested as to 100%. |
(6) | Options exercisable on December 17, 2012, subject to accelerated vesting on December 17, 2011, or extension of vesting until December 17, 2013, depending on the achievement of performance goals. |
(7) | Options exercisable as to 50% on December 13, 2009 and as to 50% on December 13, 2010. |
(8) | Options exercisable on December 12, 2010. |