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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Director Stock Option (Right to Buy) | $ 41.84 | 07/21/2014 | G | 3,506 | (2) | 02/28/2024 | Common Stock | $ 41.84 | 0 | |||||
Director Stock Option (Right to Buy) | $ 41.84 | (2) | 02/28/2024 | Common Stock | 3,506 | See Footnote (1) | ||||||||
Director Stock Option (Right to Buy) | $ 15.34 | 07/21/2014 | G | 8,116 | (3) | 02/28/2023 | Common Stock | $ 15.34 | 0 | |||||
Director Stock Option (Right to Buy) | $ 15.34 | (3) | 02/28/2023 | Common Stock | 8,116 | See Footnote (1) | ||||||||
Director Stock Option (Right to Buy) | $ 12.45 | 07/21/2014 | G | 2,334 | (4) | 02/28/2022 | Common Stock | $ 12.45 | 0 | |||||
Director Stock Option (Right to Buy) | $ 12.45 | (4) | 02/28/2022 | Common Stock | 2,334 | See Footnote (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Roame Charles 35 EAST WACKER DRIVE, SUITE 2400 CHICAGO, IL 60601 |
X |
Shelly O'Brien by power of attorney for Charles Roame | 02/13/2015 | |
**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) | Represents shares held by a trust in which Mr. Roame is the trustee. |
(2) | 3,506 options were granted to the Reporting Person on 2/28/2014. Such options will vest monthly over a 4 year period, except that the shares that would otherwise vest over the first 12 months shall not vest until the first anniversary (2/28/2015) of the grant. |
(3) | 8,116 options were granted to the Reporting Person on 02/28/2013. Such options will vest monthly over a 4 year period, except that the shares that would otherwise vest over the first 12 months shall not vest until the first anniversary (02/28/2014) of the grant. |
(4) | 2,334 options were granted to the Reporting Person on 2/29/2012. Such options will vest monthly over a 4 year period, except that the shares that would otherwise vest over the first 12 months shall not vest until the first anniversary (2/28/2013) of the grant. |