|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 |
|
| |||||||||||||||||||||||||||||
| |||||||||||||||||||||||||||||
| 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 2270 (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 at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
|||
| (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
| Restricted Stock Units | $ 0 | Â | Â | Â | Â | Â | Â (2) | Â (2) | Common Stock | Â | 390 (3) | Â | ||
| Trinity Stock Units | $ 0 | Â | Â | Â | Â | Â | Â (4) | Â (4) | Common Stock | Â | 412 (5) | by Trust | ||
| Employee Stock Option (right to buy) | $ 35.3333 (8) | Â | Â | Â | Â | Â | Â (6) | 03/12/2008 | Common Stock | Â | 4,500 (8) | Â | ||
| Employee Stock Option (right to buy) | $ 11.3333 (9) | Â | Â | Â | Â | Â | Â (7) | 05/29/2013 | Common Stock | Â | 1,575 (9) | Â | ||
| Employee Stock Option (right to buy) | $ 18.94 (10) | Â | Â | Â | Â | Â | Â (7) | 05/10/2014 | Common Stock | Â | 3,000 (10) | Â | ||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| FORTADO MICHAEL G 2525 STEMMONS FREEWAY DALLAS, TX 75207 |
 |  |  VP & Secretary |  |
| Michael G. Fortado | 01/15/2007 | |
| **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) | On May 26, 2006, the common stock of Trinity Industries, Inc. split 3-for-2, resulting in the reporting person's ownership of 8,395 additional shares of common stock. |
| (2) | Restricted Stock Units granted pursuant to Trinity Industries, Inc. Stock Option & Incentive Plan. Units vest in varying percentages beginning on the 3rd anniversary date of the grant wtih 100% vesting on the 5th anniversary date of the grant. Distribution is 1 for 1 in Trinity Stock on each vesting date. |
| (3) | On May 26, 2006, the common stock of Trinity Industries, Inc. split 3-for-2, resulting in the reporting person's ownership of 130 additional restricted stock units. |
| (4) | The Trinity Stock Units were accrued under the Trinity Industries, Inc. Supplemental Profit Sharing Plan and will be settled upon the reporting person's retirement or other termination of service or earlier for in service distributions under limited circumstances as provided by the plan. Stock Units convert at a ratio of 1 to 1. |
| (5) | On May 26, 2006, the common stock of Trinity Industries, Inc. split 3-for-2, resulting in the reporting person's ownership of 137 additional Trinity stock units. |
| (6) | Option Term is Ten Years. Options vest over 4 years at twenty-five percent (25%) per year beginning on the first anniversary of the grant date. |
| (7) | Option Term is Ten Years. Options vest over 5 years at twenty percent (20%) per year beginning on the first anniversary of the grant date. |
| (8) | This option was previously reported as covering 3,000 shares at an exercise price of $53.00 per share, but was adjusted to reflect the stock split that occurred on May 26, 2006. |
| (9) | This option was previously reported as covering 1,050 shares at an exercise price of $17.00 per share, but was adjusted to reflect the stock split that occurred on May 26, 2006. |
| (10) | This option was previously reported as covering 2,000 shares at an exercise price of $28.41 per share, but was adjusted to reflect the stock split that occurred on May 26, 2006. |