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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 | |
Drahozal Christopher R 118 SECOND AVENUE SE P.O. BOX 73909 CEDAR RAPIDS, IA 52407-3909 |
X |
/s/ Christopher R. Drahozal by Dianne M. Lyons, Attorney-in-Fact | 09/01/2011 | |
**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 denotes the privately negotiated sale of securities from the McIntyre Foundation to the Dee Ann McIntyre Marital Election Trust dated 10/06/2009. |
(2) | The number of shares beneficially held indirectly by the reporting person following the reported transaction includes: 243,086 shares held directly by Mr. Drahozal's wife; 74,714 shares held by Mr. Drahozal's children; and 66,898 shares held by a trust for the benefit of Mr. Drahozal's children where he and his wive serve as co-trustees. The 519,863 shares owned by the McIntyre Foundation (511,863 after the reported transaction) that were previously included in Mr. Drahozal's indirect beneficial ownership total are no longer included in this Column 5. See Footnote 3 for further explanation. |
(3) | Shares held by the McIntyre Foundation (an Iowa charitable foundation) were previously reported as beneficially owned by Mr. Drahozal because his wife serves as an officer and director of the foundation. It was originally presumed that Mr. Drahozal had an indirect pecuniary interest in the shares owned by the foundation because his wife's family established the foundation with shares previously held directly by them. Subsequently, Mr. Drahozal and the Issuer have determinted that he has no pecuniary interest (direct or indirect) in these shares for purposes of Section 16 of the Securities Exchange Act of 1934 ("Section 16") or for any other purpose. Therefore, shares of Issuer's common stock owned by the McIntyre Foundation are not included in the total reported in Column 5 of this report and will not be included in Mr. Drahozal's future filings pursuant to Section 16. |
(4) | These shares are held jointly by Mr. Drahozal and his wife. |