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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 | ||||||||
Performance Rights (3) | $ 25.68 | 01/13/2006 | 01/13/2006 | M | 3,894.08 | (4) | (4) | Common Stock | 3,894.08 | $ 0 | 778.82 | I | Roger K Brooks Revocable Trust | ||
Performance Rights (3) | $ 37.16 | 01/13/2006 | 01/13/2006 | M | 6,862.22 | (4) | (4) | Common Stock | 6,862.22 | $ 0 | 269.1 | I | Roger K Brooks Revocable Trust | ||
Performance Rights (3) | $ 39.08 | 01/13/2006 | 01/13/2006 | M | 4,350.05 | (4) | (4) | Common Stock | 4,350.05 | $ 0 | 0 | I | Roger K Brooks Revocable Trust | ||
Performance Rights (3) | $ 30.05 | 01/13/2006 | 01/13/2006 | M | 4,991.68 | (4) | (4) | Common Stock | 4,991.68 | $ 0 | 0 | I | Roger K Brooks Revocable Trust | ||
Performance Rights (3) | $ 21 | 01/13/2006 | 01/13/2006 | M | 3,571.43 | (4) | (4) | Common Stock | 3,571.43 | $ 0 | 0 | I | Roger K Brooks Revocable Trust | ||
Restricted Stock Units | $ 0 | 02/13/2006 | 02/13/2006 | M | 7,334 | (5) | 02/01/2008 | Common Stock | 7,334 | $ 0 | 14,666 | I | Roger K Brooks Revocable Trust |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BROOKS ROGER K 699 WALNUT STREET DES MOINES, IA 50309 |
X |
/s/ Jeananne M. Celander, attorney-in-fact for Mr. Brooks | 02/24/2006 | |
**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) | 4350.05 shares at $39.08 4991.68 shares at $30.05 3571.43 shares at $21.00 6862.22 shares at $37.16 3894.08 shares at $25.68 |
(2) | The reportee is a General Partner of RKB Partnership, L.P. and disclaims beneficial ownership. |
(3) | The Company's Senior Executive Incentive Plan (SEIP), an employee plan exempt under Section 16b-3, provides that employees participating in the plan are eligible to defer a portion of their annual bonus to purchase phantom stock units at a price per unit equal to the fair market value (FMV) of the Company's common stock on the date of purchase. The company will match a specified percentage of the phantom stock units purchased pursuant to the deferral program. Upon vesting, the Company either will pay to the employee an amount in cash determined by multiplying the number of units times the FMV of the Company's common stock on that date or issue the underlying common stock. |
(4) | On the third anniversary of the employee's deferral, the Company will issue the underlying common stock. Alternatively, on the third anniversary of the employee's deferral, the employee may elect to redefer the bonus units for another three year period and every three years thereafter, until the earlier of normal retirement or termination. The entire Company match is forfeited if the employee's employment terminates prior to the third anniversary of the employee's deferral. |
(5) | Grant of restricted stock unit (RSU) exempt under Rule 16b-3. The RSU restrictions lapse one-third on February 11, 2006; February 11, 2007; and February 11, 2008. |