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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
McIntyre Dee Ann 118 SECOND AVENUE SE CEDAR RAPIDS, IA 52407-3909 |
X |
/s/ Dee Ann McIntyre by Dianne M. Lyons, Attorney-in-Fact | 09/01/2011 | |
**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) | This transaction denotes the privately negotiated sale of securities from the McIntyre Foundation to the Dee Ann McIntyre Marital Election Trust dated 10/06/2009. |
(2) | The number of securities benefically held indirectly by the reporting person following the reported transaction includes: 2,114,553 shares held by the Dee Ann McIntyre Marital Election Trust for which Mrs. McIntyre serves as sole trustee; 449,675 shares held by the Dee Ann McIntyre Trust (irrevocable) for which Mrs. McIntyre is a lifetime beneficiary; 268,980 shares held by the J. Scott McIntrye Irrevocable Trust for which Mrs. McIntyre serves as sole trustee; 50,802 shares held by the J. Scott McIntyre Marital Election Trust for which Mrs. McIntyre serves as trustee; 11,507 shares held in an individual retirement account for Mrs. McIntyre's benefit; and 100 shares held in a brokerage account by the J. Scott McIntyre Estate. The 519,863 shares owned by the McIntyre Foundation (511,863) after the reported transaction) that were previously included in Mrs. McIntyre's indirect beneficial ownership total are no longer included in this Column 5. See Footnote 3 for further explanation. |
(3) | Shares held by the McIntyre Foundation (an Iowa charitable foundation) were previously reported as beneficially owned by Mrs. McIntyre because she serves as an officer and director of the foundation. It was originally presumed that Mrs. McIntyre had an indirect pecuniary interest in the shares owned by the foundation because her late husband's family established the foundation with shares previously held directly by them. Subsequently, Mrs. McIntyre and the Issuer have determined that she has no pecuniary interest (direct or indirect) in these shares for purposes of Section 16 of the Securities Exchange Act of 1934 ("Section 16") or for any other purpose. Therefore, shares of Issuer's common stock owned by the McIntyre Foundation are not included in the total reported in Column 5 of this report and will not be included in Mrs. McIntyre's future filings pursuant to Section 16. |
(4) | The number of securities beneficially held directly by the reporting person following the reported transaction includes: 168 shares held directly by Mrs. McIntyre and 10,996 shares held in a revocable trust account for Mrs. McIntyre's benefit. |