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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 | ||||||||
Option (right to buy) | $ 24.75 | (1) | 12/06/2012 | Common Stock | 135,000 | 135,000 | D | ||||||||
Option (right to buy) | $ 30.96 | (1) | 04/01/2013 | common stock | 500,000 | 500,000 | D | ||||||||
Option (right to buy) | $ 25.88 | (1) | 12/11/2013 | Common Stock | 314,530 | 314,530 | D | ||||||||
Option (right to buy) | $ 23.28 | (1) | 12/10/2014 | Common Stock | 397,460 | 397,460 | D | ||||||||
Option (right to buy) | $ 7.41 | (1) | 12/08/2015 | Common Stock | 751,540 | 751,540 | D | ||||||||
Option (right to buy) | $ 4.54 | (3) | 10/13/2016 | Common Stock | 500,000 | 500,000 | D | ||||||||
Option (right to buy) | $ 3.4 | (2) | 02/27/2018 | Common Stock | 705,732 | 705,732 | D | ||||||||
Stock Units | (4) | (5) | (5) | Common Stock | 18,539.42 | 18,539.42 | D | ||||||||
Stock Units | (4) | (5) | (5) | Common Stock | 56,886.41 | 56,886.41 | D | ||||||||
Stock Units (6) | (4) | (5) | (5) | Common Stock | 19,370.2903 | 19,370.2903 | D | ||||||||
Restricted Stock Units (10) | (4) | 09/28/2012 | F | 7,601 (9) | (10) | (10) | Common Stock | 7,601 | $ 0 | 1,040,769 (11) | D | ||||
Restricted Stock Units | (4) | (8) | (8) | Common Stock | 266,450 | 266,450 | D | ||||||||
Restricted Stock Units | (4) | 12/31/2013(7) | 12/31/2013(7) | Common Stock | 248,009 | 248,009 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PEREZ ANTONIO M 343 STATE STREET ROCHESTER, NY 14650 |
X | President, Chairman & CEO |
Patrick M. Sheller, as attorney-in-fact for Antonio M. Perez | 10/02/2012 | |
**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) | These options have vested. |
(2) | These options vest one-third on each of the first three anniversaries of the date of grant. |
(3) | One third vests on the 2nd anniversary of the grant date; one third vests on 3rd anniversary of the grant date; remaining third vests on the 4th anniversary of the grant date. |
(4) | These units convert on a one-to-one basis. |
(5) | This date is not applicable to these units. |
(6) | These units granted under the 2000 Omnibus Long-Term Compensation Plan; Leadership Stock Program, 2004-2005 cycle. |
(7) | This is the date these restricted stock units will vest. |
(8) | These units vest one-third on each of the first three anniversaries of the date of grant. |
(9) | On September 28, 2012 7,601 units were deducted to pay FICA. |
(10) | On September 28, 2012 524,185 of these restricted stock units vested. The remaining will vest on September 28, 2013. |
(11) | Some of these units are restricted. |