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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 Option (Right to Buy) | $ 2.1 | 01/18/2012 | M | 7,000 | (2) | 12/16/2015 | Common Stock | 7,000 | (5) | 7,000 | D | ||||
Employee Stock Option (Right to Buy) | $ 1.13 | 01/18/2012 | M | 27,000 | (3) | 02/19/2016 | Common Stock | 27,000 | (5) | 27,000 | D | ||||
Employee Stock Option (Right to Buy) | $ 5.4 | 01/18/2012 | M | 12,374 | (4) | 02/19/2017 | Common Stock | 12,374 | (5) | 24,746 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Shaner William James 9754 SUMMIT ASH COURT COLORADO SPRINGS, CO 80920 |
Vice President, GM, ME Div. |
/s/ Peter W. Walcott, Attorney-In-Fact for William J. Shaner | 01/19/2012 | |
**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) | These shares were sold pursuant to a Rule 10b5-1 Trading Plan established by the Reporting Person on November 30, 2011. |
(2) | These options are part of a grant that vest in four equal annual installments. The first annual installment became exercisable on 12/16/2009, the second annual installment became exercisable on 12/16/2010 and the third annual installment became exercisable on 12/16/2011. The last annual installment becomes exercisable on 12/16/2012. |
(3) | These options are part of a grant that vest in three equal annual installments. The first annual installment became exercisable on 2/19/2010, the second annual installment became exercisable on 2/19/2011. The last annual installment becomes exercisable on 2/19/2012. |
(4) | These options are part of a grant that vest in three equal annaul installments. The first annual installment became exercisable on 2/19/2011. The second annual installment becomes exercisable on 2/19/2012. The last annual installment becomes exercisable on 2/19/2013. |
(5) | These options were granted pursuant to an employee stock option plan that provides for the grant of options in consideration of services as an employee. |