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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 | ||||||||
Options (right to buy) | $ 35.01 | 01/29/2013 | A | 450,000 | 01/29/2014(2) | 01/29/2023 | Common Stock | 450,000 | $ 0 | 450,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ADKERSON RICHARD C 333 NORTH CENTRAL AVENUE PHOENIX, AZ 85004 |
X | President and CEO |
Kelly C. Simoneaux, on behalf of Richard C. Adkerson, pursuant to a power of attorney | 01/31/2013 | |
**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 a grant of Performance Based Restricted Stock Units granted in connection with the Issuer's annual incentive plan that will vest on February 15, 2016 provided the performance conditions are met as of the vesting date. |
(2) | 25% exercisable on the date indicated and 25% exercisable on each of the next three anniversaries thereof. |
(3) | Since the date of Mr. Adkerson's last Form 4, an additional 137,000 shares of the Issuer's Common Stock have been contributed to his trust and are now reported as indirectly held. |
Remarks: Following the reported transactions, Mr. Adkerson's beneficial ownership includes 862,425 shares of Common Stock and 553,572 Performance Based Restricted Stock Units. He also holds options to acquire a total of 5,530,000 shares of Common Stock, 3,625,000 of which are vested and 1,905,000 of which are unvested. |