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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 | ||||||||
Stock Option (right-to-buy) | $ 10.04 | 04/26/2010 | A | 12,700 | (3) | 04/26/2020 | Common Stock | 12,700 | $ 10.04 | 12,700 | D | ||||
Performance Rights | (4) | 04/26/2010 | A | 5,428 | (4) | 12/31/2012 | Common Stock | 5,428 | $ 0 | 5,428 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rietsch Manfred 1415 WEST 22ND STREET SUITE 1100 OAK BROOK, IL 60523 |
Pres.-Federal Signal Tech.Grp. |
Jennifer L. Sherman, attorney-in-fact for Manfred Rietsch | 04/28/2010 | |
**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 represents a restricted stock award. All 5,428 shares vest on 4/26/2013. These shares are subject to restrictions and forfeiture under the Company Stock Benefit Plan. |
(2) | The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
(3) | Options become exercisable as to 4,234 shares on 4/26/2011, 4,233 shares on 4/26/2012 and the remaining 4,233 shares on 4/23/2013. |
(4) | Each performance share represents a contingent right to receive up to 2 shares of the Company's common stock based on a 3 year performance metric. The number of shares to be received will depend on the Company's relative Total Shareholder Return (TSR) for the 3-year period beginning 1/1/2010, compared against the TSR over the same period for a pre-set group of peer companies. |