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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 | ||||||||
Employee Stock Option (right to buy) | $ 4.167 | 03/13/2006 | M | 14,279 | (2) | 06/20/2006 | Common Stock | 14,279 | $ 0 | 19,578 | D | ||||
Employee Stock Option (right to buy) | $ 4.167 | 03/14/2006 | M | 9,578 | (3) | 06/20/2006 | Common Stock | 9,578 | $ 0 | 10,000 | D | ||||
Employee Stock Option (rgiht to buy) | $ 4.167 | 03/14/2006 | M | 10,000 | (4) | 06/20/2006 | Common Stock | 10,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DUFFY JAMES B VERTRUE INCORPORATED 20 GLOVER AVENUE NORWALK, CT 06850 |
EVP and CFO |
Tami Pauley, Attorney-in-fact for James Duffy | 03/15/2006 | |
**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) | Mr. Duffy also owns 115.0873 shares of VTRU common stock indirectly through the Vertrue 401(k) Plan. The information is based on a plan statement as of February 22, 2006. |
(2) | The option vests in 4 equal installments on each of June 20, 197, 1998, 1999 and 2000. |
(3) | The option vest in 4 equal installments on each of June 20, 1997, 1998, 1999 and 2000. |
(4) | The option vest in 4 equal installments on each of June 20, 1997, 1998, 1999 and 2000. |