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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 | ||||||||
Employee Stock Options (Right to Buy) | $ 26.7 | 12/12/2013 | M | 7,200 | (5) | 01/15/2014 | Common Stock | 7,200 | $ 0 (6) | 0 | D | ||||
Stock Equivalent Units | $ 0 (7) | 12/13/2013 | A(8) | 7,460 | (9) | (9) | Common Stock | 7,460 | $ 55.49 | 110,863 (10) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Novas Paul D 500 NORTH FIELD DRIVE LAKE FOREST, IL 60045 |
Vice President |
/s/James D. Harrington, Attorney-in-fact for Paul D. Novas | 12/16/2013 | |
**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) | Reflects cashless exercise of stock options which were granted pursuant to Rule 16b-3. |
(2) | The Common Stock reported herein as being sold were sold at a range of between $55.60 and $55.62 per share. The sale price reported above represents the weighted average sale price for the reported transaction and has been rounded to the nearest cent. |
(3) | Reflects restricted stock granted pursuant to Rule 16b-3. |
(4) | Reflects shares allocated to, and indirectly held by, the Reporting Person under the Issuer's 401(k) Plan. |
(5) | The stock options exercised by the Reporting Person vested in three equal installments on January 16, 2008, January 16, 2009 and January 16, 2010. |
(6) | Reflects stock options granted pursuant to Rule 16b-3. |
(7) | 1-for-1 |
(8) | Represents a Discretionary Transaction that is exempt from Section 16(b) pursuant to Rule 16b-3(f). |
(9) | Previously deferred compensation invested by the Reporting Person in Stock Equivalent Units under the Issuer's Incentive Deferral Plan. The deferred amount will be settled, at the Issuer's option, in cash or stock on 01/01/2025 or, if earlier, upon the Reporting Person's separation from service with the Issuer. |
(10) | The remaining deferred amount of Stock Equivalent Units will be settled, at the Issuer's option, in cash or stock as follows: 91,914 on 01/01/2023 and 11,489 on 01/01/2024 or, in each case if earlier, upon the Reporting Person's separation from service with the Issuer. |