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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 |
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 | 06/30/2009 | |
**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) | This transaction reported pursuant to Rule 16a-2(a) under the Securities Exchange Act of 1934 ("'34 Act"). Mr. Ernst became subject to Section 16 of the '34 Act on February 25, 2009. |
(2) | The number of securities beneficially held includes: 1,944 shares of restricted stock issued under the Company's 2008 Stock Plan, which vest, subject to certain conditions, on 05/21/2013; 216 shares held in the Company's Employee Stock Ownership Plan for Mr. Ernst's benefit; 171 shares held as custodian for Mr. Ernst's daughter; and approximately 4,412 shares held in a Company 401(k) account for Mr. Ernst's benefit, based on a statement of the plan trustee. |
(3) | The number of securities shown as being held in or acquired or disposed of by the Company 401(k) account for Mr. Ernst's benefit is the approximate number of shares of common stock for which Mr. Ernst has a pecuniary interest under the 401(k) plan. Such shares are not directly allocated to plan participants, but are instead held in a unitized fund consisting primarily of common stock, together with a small percentage of short-term investments. Participants acquire units of this fund. |
(4) | The number of securities beneficially held includes: 1,944 shares of restricted stock issued under the Company's 2008 Stock Plan, which vest, subject to certain conditions, on 05/21/2013; 216 shares held in the Company's Employee Stock Ownership Plan for Mr. Ernst's benefit; and approximately 4,412 shares held in a Company 401(k) account for Mr. Ernst's benefit, based on a statement of the plan trustee. |
(5) | The number of securities beneficially held includes: 1,944 shares of restricted stock issued under the Company's 2008 Stock Plan, which vest, subject to certain conditions, on 05/21/2013; 216 shares held in the Company's Employee Stock Ownership Plan for Mr. Ernst's benefit; and approximately 2,366 shares held in a Company 401(k) account for Mr. Ernst's benefit, based on a statement of the plan trustee. |
(6) | The number of securities beneficially held includes: 1,944 shares of restricted stock issued under the Company's 2008 Stock Plan, which vest, subject to certain conditions, on 05/21/2013; 216 shares held in the Company's Employee Stock Ownership Plan for Mr. Ernst's benefit; and approximately 2,749 shares held in a Company 401(k) account for Mr. Ernst's benefit, based on a statement of the plan trustee. |
(7) | The number of securities beneficially held includes: 1,944 shares of restricted stock issued under the Company's 2008 Stock Plan, which vest, subject to certain conditions, on 05/21/2013; 216 shares held in the Company's Employee Stock Ownership Plan for Mr. Ernst's benefit; approximately 2,749 shares held in a Company 401(k) account for Mr. Ernst's benefit, based on a statement of the plan trustee; and 500 shares held in an individual retirement account for the benefit of Mr. Ernst's spouse. |
(8) | The number of securities beneficially held includes: 1,944 shares of restricted stock issued under the Company's 2008 Stock Plan, which vest, subject to certain conditions, on 05/21/2013; 216 shares held in the Company's Employee Stock Ownership Plan for Mr. Ernst's benefit; approximately 2,749 shares held in a Company 401(k) account for Mr. Ernst's benefit, based on a statement of the plan trustee; 500 shares held in an individual retirement account for the benefit of Mr. Ernst's spouse; and 200 shares held as custodian for Mr. Ernst's daughter. |
(9) | The number of securities beneficially held includes: 1,944 shares of restricted stock issued under the Company's 2008 Stock Plan, which vest, subject to certain conditions, on 05/21/2013; 216 shares held in the Company's Employee Stock Ownership Plan for Mr. Ernst's benefit; approximately 3,778 shares held in a Company 401(k) account for Mr. Ernst's benefit, based on a statement of the plan trustee; 500 shares held in an individual retirement account for the benefit of Mr. Ernst's spouse; and 200 shares held as custodian for Mr. Ernst's daughter. |
(10) | The number of securities beneficially held includes: 1,944 shares of restricted stock issued under the Company's 2008 Stock Plan, which vest, subject to certain conditions, on 05/21/2013; 216 shares held in the Company's Employee Stock Ownership Plan for Mr. Ernst's benefit; approximately 2,790 shares held in a Company 401(k) account for Mr. Ernst's benefit, based on a statement of the plan trustee; 500 shares held in an individual retirement account for the benefit of Mr. Ernst's spouse; and 200 shares held as custodian for Mr. Ernst's daughter. |
(11) | The number of securities beneficially held includes: 1,944 shares of restricted stock issued under the Company's 2008 Stock Plan, which vest, subject to certain conditions, on 05/21/2013; 216 shares held in the Company's Employee Stock Ownership Plan for Mr. Ernst's benefit; and approximately 3,837 shares held in a Company 401(k) account for Mr. Ernst's benefit, based on a statement of the plan trustee. |
Remarks: This amended Form 4 is being filed to correct certain inadvertent errors in the Form 4/A filed by the reporting person on May 6, 2009 (the "First Amended Form 4"). The First Amended Form 4 included incorrect transaction codes for certain transactions and reported transactions that were eligible for exemption from reporting under Rule 16b-3(c). |