|
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 |
|
| |||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (11/7/2018) | $ 96.96 | 11/07/2018 | A | 8,573 | (1) | 11/07/2028 | Common Stock | 8,573 | $ 0 | 8,573 | D | ||||
Restricted Stock Units (11/7/2018) | $ 0 (2) | 11/07/2018 | A | 2,462 | 11/08/2019(3) | 11/08/2021(3) | Common Stock | 2,462 | $ 0 | 2,462 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rasin Deborah 130 EAST RANDOLPH STREET SUITE 1000 CHICAGO, IL 60601 |
SVP, Chief Legal Officer |
/s/ Ari D. Mintzer as Attorney-in-Fact for Deborah M. Rasin | 11/09/2018 | |
**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) | Stock options vest 25% on each of November 7, 2019, 2020, 2021 and 2022. |
(2) | Restricted stock units convert into common stock on a one-for-one basis. |
(3) | Restricted stock units vest 34% on November 8, 2019 and 33% on November 8, 2020 and 2021. Restricted stock units are entitled to dividend equivalent rights which accrue on dividend record dates. |