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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 | ||||||||
Stock Options (right to buy) | $ 15.85 | 12/27/2012 | M(1) | 1,000 | (5) | 02/21/2013 | Common Stock | 1,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CONNER DAVID E 118 SECOND AVENUE SE P.O. BOX 73909 CEDAR RAPIDS, IA 52407-3909 |
VP/Chief Claims Officer |
/s/ David E. Conner by Dianne M. Lyons, Attorney-in-Fact | 01/16/2013 | |
**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 represents the exercise and sale of vested, non-qualified stock options under a preapproved 10b-5 trading plan. |
(2) | The total number of securities beneficially held directly by the Reporting Person following the reported transaction includes: 1,875 shares of restricted stock issued under the Issuer's 2008 Stock Plan which vest, subject to certain conditions, on 02/18/2016; 1,226 shares of restricted stock issued under the Issuer's 2008 Stock Plan which vest, subject to certain conditions on 05/21/2013; and 1,000 shares held directly by the Reporting Person. |
(3) | The total number of securities beneficially held directly by the Reporting Person following the reported transaction includes: 1,875 shares of restricted stock issued under the Issuer's 2008 Stock Plan which vest, subject to certain conditions, on 02/18/2016 and 1,226 shares of restricted stock issued under the Issuer's 2008 Stock Plan which vest, subject to certain conditions on 05/21/2013. |
(4) | Th number of securities shown as being held in or acquired or disposed of by the Issuer's 401(k) account for the Reporting Person's benefit is the approximate number of shares of common stock for which the Reporting Person has the right to direct the vote 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. |
(5) | All options currently exercisable. |
Remarks: This amended Form 4 is being filed to correct two errors in the original report. The transaction coding of the sale of vested, exercised stock options under Table 1, Section 4 was corrected from "A" acquired to "D" disposed. The expiration date of the options in Table 2, Section 6 was corrected from 02/21/2012 to 02/21/2013. |