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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 | ||||||||
2018 Restricted Share Unit Grant | (2) | 03/04/2019 | M | 5,075 | (2) | (2) | Common shares, $0.01 par value | 5,075 | $ 0 | 5,074 | D | ||||
2019 Restricted Share Unit Grant | (3) | 03/01/2019 | A | 8,385 | (3) | (3) | Common shares, $0.01 par value | 8,385 | $ 0 | 8,385 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Thompson Tommy G 309 N. WATER STREET, SUITE 500 MILWAUKEE, WI 53202 |
X |
/s/ Christopher M. Bartoli, as attorney-in-fact | 03/04/2019 | |
**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) | Includes 2,131 shares acquired under the Dividend Reinvestment and Share Purchase Plan and 10,449 shares that were previously indirectly owned by Thompson Family Investments, LLC. Further, the amount includes a reduction of 151 shares due to a reconciliation adjustment. |
(2) | March 2, 2018, the Reporting Person was granted 10,149 restricted stock units, which vest in two equal annual installments on March 2, 2019 and March 2, 2020, subject to the terms of the grant. Each restricted stock unit represents the right to receive one share of the Issuer's common shares. |
(3) | March 1, 2019 grant of restricted stock units under the Issuer's 2013 Equity Incentive Plan, which will vest in two equal annual installments on March 1, 2020 and March 1, 2021, subject to the terms of the grant. Each restricted stock unit represents the right to receive one share of the Issuer's common shares. |