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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 | ||||||||
Phantom Stock Units | (4) | 01/02/2018 | A | 2,094.0976 | (5) | (5) | Common Stock | 2,094.0976 | (1) | 88,230.4242 (6) | D | ||||
Phantom Stock Units | (4) | 01/03/2018 | A | 2,214.4196 | (5) | (5) | Common Stock | 2,214.4196 | (3) | 90,444.8439 (6) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CULVER CURT S 231 WEST MICHIGAN STREET MILWAUKEE,, WI 53203 |
X |
Joshua M. Erickson, as attorney in fact | 01/04/2018 | |
**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) | Upon the vesting of restricted stock granted to the reporting person on January 2, 2015, the reporting person deferred receipt of 2,094.0976 shares of common stock and instead received 2,094.0976 phantom stock units pursuant to the Directors Deferred Compensation Plan (DDCP). As a result, the reporting person is reporting the disposition of 2,094.0976 shares of common stock in exchange for an equal number of phantom stock units. |
(2) | Includes shares acquired pursuant to dividend reinvestment in transactions exempt from Section 16 pursuant to Rule 16a-11. |
(3) | Upon the vesting of restricted stock granted to the reporting person on January 3, 2017, the reporting person deferred receipt of 2,214.4196 shares of common stock and instead received 2,214.4196 phantom stock units pursuant to the DDCP. As a result, the reporting person is reporting the disposition of 2,214.4196 shares of common stock in exchange for an equal number of phantom stock units. |
(4) | One-for-one. |
(5) | These phantom stock units were accrued under the DDCP and are to be settled following the reporting person's termination of service as a director. |
(6) | Includes phantom stock units accrued pursuant to a dividend reinvestment feature of the DDCP in transactions exempt from Section 16 pursuant to Rule 16a-11. |