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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 | ||||||||
Options (Right to Buy) | $ 24.4 | 02/04/2011 | A | 14,168 | 02/04/2012(1) | 02/04/2021 | Common Stock | 14,168 | $ 0 | 14,168 | D | ||||
Restricted Stock Units (4) | (5) | 02/04/2011 | 02/04/2011 | D | 21,482 (6) | (5) | (5) | Common Stock | 0 | $ 0 | 0 | D | |||
Performance Stock Units | (7) | (7) | (7) | Common Stock | 18,323 | 18,323 | D | ||||||||
Performance Stock Units | (8) | (8) | (8) | Common Stock | 82,619 | 82,619 | D | ||||||||
Options (Right to Buy) | $ 10.56 (10) | 02/01/2003(9) | 02/01/2012 | Common Stock | 30,000 | 30,000 | D | ||||||||
Options (Right to Buy) | $ 6.92 (10) | 02/07/2004(11) | 02/07/2013 | Common Stock | 20,000 | 20,000 | D | ||||||||
Options (Right to Buy) | $ 11.96 (10) | 02/06/2005(12) | 02/06/2014 | Common Stock | 16,000 | 16,000 | D | ||||||||
Options (Right to Buy) | $ 16.14 (10) | 02/04/2006(13) | 02/04/2015 | Common Stock | 16,000 | 16,000 | D | ||||||||
Options (Right to Buy) | $ 21.55 (10) | 02/03/2007(14) | 02/03/2016 | Common Stock | 16,400 | 16,400 | D | ||||||||
Options (Right to Buy) | $ 24.34 (10) | 02/02/2008(18) | 02/02/2017 | Common Stock | 16,400 | 16,400 | D | ||||||||
Options (Right to Buy) | $ 19.5 | 02/01/2009(15) | 02/01/2018 | Common Stock | 76,306 | 76,306 | D | ||||||||
Options (Right to Buy) | $ 5.64 | 02/06/2010(16) | 02/06/2019 | Common Stock | 79,190 | 79,190 | D | ||||||||
Options (Right to Buy) | $ 16.71 | 02/05/2011(17) | 02/05/2020 | Common Stock | 26,185 | 26,185 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SMITH SCOTT H 1300 SOUTH MOPAC AUSTIN, TX 78746 |
Chief Information Officer |
/s/ Leslie K. O'Neal on Behalf of Reporting Person | 02/08/2011 | |
**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) | Options granted 02/04/11 vest as follows: 3542 on 02/04/12, 3542 on 02/04/13, 3542 on 02/04/14 and 3542 on 02/04/15. |
(2) | Includes 10,433 Restricted Stock Units granted to Reporting Person on February 4, 2011. These RSUs will vest effective February 4,2014 if 1% ROI or ROI in top three quartiles of peer group performance criteria is met, and will be settled for stock on the vesting date. |
(3) | Includes 20,280 Restricted Stock Units granted to Reporting Person on February 5, 2010. These RSUs will vest effective February 5, 2013 if 1% ROI or ROI in top three quartiles of peer group performance criteria is met, and will be settled for stock on the vesting date. |
(4) | Granted 02/01/2008 Option Vesting Schedule: Options exercisable 02/01/2009, 19077; Options exercisable 02/01/2010 ,19077; Options exercisable 02/01/2011, 19077; Options exercisable 02/01/2012, 19075. |
(5) | Restricted Stock Units granted on February 1, 2008 will vest effective February 1, 2011 if 1% ROI performance criteria is met. Restricted Stock Units will be settled for cash based on the fair market value on the vesting date. |
(6) | Restricted Stock Units settled for cash. |
(7) | Performance Stock Units granted on February 5, 2010 will vest on or after February 5, 2013 at 100% if the Company's average ROI falls within the first quartile ROI ranking compared to its peer group; 75% if in the second quartile, zero if in the bottom half. PSUs will be settled for cash based on the fair market value on the vesting date. |
(8) | Performance Stock Units granted on February 6, 2009 will vest on or after February 6, 2012 at 100% if the Company's average ROI falls within the first quartile ROI ranking compared to its peer group; 75% if in the second quartile; zero if in the bottom half. PSUs will be settled for cash based on the fair market value on the vesting date. |
(9) | Options Vesting Schedule: Options Exercisable 02/01/2003 - 7,500; Options Exercisable 02/01/2004 - 7,500; Options Exercisable 02/01/2005 - 7,500; Options Exercisable 02/01/2006 - 7,500. |
(10) | The exercise price of these outstanding options were amended from that previously reported in connection with the spin-off announced by the Company effective 12/28/2007, and pursuant to anti-dilution provisions set forth in the option plan and is intended to give the option the same economic value it had before the spin-off. |
(11) | Options Vesting Schedule: Options Exercisable 02/07/2004 - 5,000; Options Exercisable 02/07/2005 - 5,000; Options Exercisable 02/07/2006 - 5,000; Options Exercisable 02/07/2007 - 5,000. |
(12) | Options Vesting Schedule: Options exercisable 02/06/2005 - 4,000; Options Exercisable 02/06/2006 - 4,000; Options Exercisable 02/06/2007 - 4,000; Options Exercisable 02/06/2008 - 4,000. |
(13) | Option Vesting Schedule: Options exercisable 02/04/2006 - 4,000; Options exercisable 02/04/2007 - 4,000; Options exercisable 02/04/2008 - 4,000; Options exercisable 02/04/2009 - 4,000. |
(14) | Options Vesting Schedule for Options Granted 02/03/2006: Options Exerciserable 02/03/2007 - 4,100; Options Exerciserable 02/03/2008 - 4,100; Options Exerciserable 02/03/2009 - 4,100; and Options Exerciserable 02/03/2010 - 4,100. |
(15) | Granted 02/01/2008 Option Vesting Schedule: Options exercisable 02/01/2009, 19076; Options exercisable 02/01/2010,19077; Options exercisable 02/01/2011, 19076; Options exercisable 02/01/2012, 19077. |
(16) | Options Vesting Schedule for Options Granted 02/06/2009. Options Exerciserable 02/06/2010 - 19,797; Options Exerciserable 02/06/2011 - 19,798; Options Exerciserable 02/06/2012 - 19,797; and Options Exerciserable 02/06/2013 - 19,798. |
(17) | Options Vesting Schedule for Options Granted 02/05/2010. Options Exercisable 02/05/2011 - 6546; Options Exercisable 02/05/2012 - 6546; Options Exercisable 02/05/2013 - 6546; and Options Exercisable 02/06/2014 - 6546. |
(18) | Options Vesting Schedule for Options Granted 02/02/2007. Options Exerciserable 02/02/2008 - 4,100; Options Exerciserable 02/02/2009 - 4,100; Options Exerciserable 02/02/2010 - 4,100; and Options Exerciserable 02/02/2011 - 4,100. |