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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 | ||||||||
Incentive Stock Option (right to buy) | $ 14.03 | 06/01/2001(1) | 06/01/2011 | Common Stock | 21,784 | 21,784 | D | ||||||||
Nonqualified Stock Option (right to buy) | $ 22.81 | 06/05/2003(2) | 06/05/2013 | Common Stock | 11,993 | 11,993 | D | ||||||||
Incentive Stock Option (right to buy) | $ 22.81 | 06/05/2003(3) | 06/05/2013 | Common Stock | 6,507 | 6,507 | D | ||||||||
Nonqualified Stock Option (right to buy) | $ 32.26 | 11/25/2005 | 05/10/2014 | Common Stock | 10,000 | 10,000 | D | ||||||||
Nonqualified Stock Option (right to buy) | $ 50.09 | 04/01/2005(4) | 04/01/2015 | Common Stock | 2,500 | 2,500 | D | ||||||||
Incentive Stock Option (right to buy) | $ 50.09 | 04/01/2005(5) | 04/01/2015 | Common Stock | 2,500 | 2,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lowenstein Arnold J 200 CLARENDON STREET, T-33 BOSTON, MA 02116 |
EVP, Chief Strategy Officer |
Delia J. Makhlouta, by power of attorney | 02/16/2010 | |
**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) | Date indicated is date of grant. The option vests over four years as follows: 5,208 shares vest on each of the first, second and third anniversaries of the date of grant and 6,160 shares vest on the fourth anniversary of the date of grant. |
(2) | Date indicated is date of grant. The option vests over four years as follows: 4,625 shares vest on each of the first and second anniversaries of the date of grant; 2,502 shares vest on the third anniversary of the date of grant and 241 shares vest on the fourth anniversary of the date of grant. |
(3) | Date indicated is date of grant. 2,123 shares vest on the third anniversary of the date of grant and 4,384 shares vest on the fourth anniversary of the date of grant. |
(4) | Date indicated is date of grant. 1,250 shares vest on each of the first and second anniversaries of the date of grant. |
(5) | Date indicated is date of grant. 1,250 shares vest on each of the third and fourth anniversaries of the date of grant. |