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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 | $ 7.25 | 04/01/2006 | D | 5,000 | (4) | 03/06/2011 | Common Stock | 5,000 | (4) | 0 | D | ||||
Stock Option | $ 7.1 | 04/01/2006 | D | 5,000 | (5) | 01/23/2012 | Common Stock | 5,000 | (5) | 0 | D | ||||
Stock Option | $ 10.41 | 04/01/2006 | D | 5,000 | (6) | 01/22/2013 | Common Stock | 5,000 | (6) | 0 | D | ||||
Stock Option | $ 14.4 | 04/01/2006 | D | 5,000 | (7) | 01/21/2014 | Common Stock | 5,000 | (7) | 0 | D | ||||
Stock Option | $ 13.4 | 04/01/2006 | D | 5,000 | (8) | 04/19/2015 | Common Stock | 5,000 | (8) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RUSS JAMES G 16500 SINGLETARY RD MYAKKA CITY, FL 34251 |
X |
J. Gary Russ | 04/04/2006 | |
**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) | Disposed of pursuant to merger agreement between issuer and Marshall & Ilsley Corporation ("M&I") in exchange for 65,648 shares of M&I common stock having a market value of $43.96 per share on the effective date of the merger. |
(2) | Disposed of pursuant to merger agreement between issuer and M&I in exchange for 49,418 shares of M&I common stock having a market value of $43.96 per share on the effective date of the merger. |
(3) | Includes: (a) 20,000 shares owned by reporting person and his wife as joint tenants, (b) 22,374 shares owned by reporting person and Christine Russ, as joint tenants (c) 826 shares owned reporting person's spouse, and (d) 94,995 shares owned by Russ Citrus Groves, Ltd., of which the reporting person is the General Partner. |
(4) | This option, granted March 6, 2001, which provided for full vesting after one year, was assumed by M&I in the merger and replaced with an option to purchase 2,104 shares of M&I common stock for $17.23 per share. |
(5) | This option, granted Jan. 23, 2002, which provided for full vesting after one year, was assumed by M&I in the merger and replaced with an option to purchase 2,104 shares of M&I common stock for $16.87 per share. |
(6) | This option, granted Jan. 22, 2003, which provided for full vesting after one year, was assumed by M&I in the merger and replaced with an option to purchase 2,104 shares of M&I common stock for $24.74 per share. |
(7) | This option, granted Jan. 21, 2004, which provided for full vesting after one year, was assumed by M&I in the merger and replaced with an option to purchase 2,104 shares of M&I common stock for $34.22 per share. |
(8) | This option, granted April 29, 2005, which provided for full vesting after one year, was assumed by M&I in the merger and replaced with an option to purchase 2,104 shares of M&I common stock for $31.84 per share. |