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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 | |
TOWLE STEVEN J 333 WEST 11TH STREET KANSAS CITY, MO 64105 |
President & CEO of Subsidiary |
Randall D. Young for Steven J. Towle by power of attorney | 03/17/2015 | |
**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) | Shares are allocated to the Reporting Persons account in the 401(k) Profit Sharing Plan of Issuer. The acquistion is exempt pursuant to Rule 16b-3(c), |
(2) | Held through the deferred compensation plan of Boston Financial Services, Inc., owned 50% by the Issuer and the prior employer of Reporting Person. |
(3) | The acquisition is of unvested restricted stock units (RSUs) received automatically on March 13, 2015 as dividend equivalents pursuant to the terms and conditions of award agreements (Dividend RSUs). The Dividend RSUs were granted in connection with RSUs granted February 21, 2013, February 25, 2014 and February 23, 2015, and the Dividend RSUs previously received in connection therewith. |
(4) | The Compensation Committee of the Issuers Board of Directors allows the withholding of shares (Tax Withholding Transactions) to satisfy the Reporting Persons income tax obligation from the vesting of RSUs and Dividend RSUs. The Committee pre-approves, at the time of grant, the Tax Withholding Transactions. The Reporting Person holds RSUs and Dividend RSUs reported in other Section 16 filings and Dividend RSUs included in this filing that vested on March 13, 2015. This form reports the number of shares retained in the March 13, 2015 Tax Withholding Transactions for the vesting. |