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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 | ||||||||
Non-Qualified Stock Option (right to buy - SI000774) | $ 11.2299 (7) | 06/30/1998(8) | 06/30/2008 | Common Stock | 22,500 | 22,500 | D | ||||||||
Non-Qualified Stock Option (right to buy - DV001435) | $ 11.2299 (7) | 06/30/1998(8) | 06/30/2008 | Common Stock | 10,564 (7) | 10,564 (7) | D | ||||||||
Non-Qualified Stock Option (right to buy - T0000723) | $ 11.2299 (7) | 06/30/1998(8) | 06/30/2008 | Common Stock | 4,146 | 4,146 | D | ||||||||
Non-Qualified Stock Option (right to buy - DV001432) | $ 11.2299 (7) | 06/30/1998(8) | 06/30/2008 | Common Stock | 1,947 (7) | 1,947 (7) | D | ||||||||
Non-Qualified Stock Option (right to buy - SI001316) | $ 8.0206 (7) | 06/30/1999(8) | 06/30/2009 | Common Stock | 22,500 | 22,500 | D | ||||||||
Non-Qualified Stock Option (right to buy - DV001426) | $ 8.0206 (7) | 06/30/1999(8) | 06/30/2009 | Common Stock | 10,564 (7) | 10,564 (7) | D | ||||||||
Non-Qualified Stock Option (right to buy - T0000632) | $ 8.0206 (7) | 06/30/1999(8) | 06/30/2009 | Common Stock | 4,146 | 4,146 | D | ||||||||
Non-Qualified Stock Option (right to buy - DV001443) | $ 8.0206 (7) | 06/30/1999(8) | 06/30/2009 | Common Stock | 1,947 (7) | 1,947 (7) | D | ||||||||
Non-Qualified Stock Option (right to buy - SI001801) | $ 9.3614 (7) | 06/30/2000(8) | 06/30/2010 | Common Stock | 22,500 | 22,500 | D | ||||||||
Non-Qualified Stock Option (right to buy - DV001436) | $ 9.3614 (7) | 06/30/2000(8) | 06/30/2010 | Common Stock | 10,564 (7) | 10,564 (7) | D | ||||||||
Non-Qualified Stock Option (right to buy - T0000636) | $ 9.3614 (7) | 06/30/2000(8) | 06/30/2010 | Common Stock | 4,146 | 4,146 | D | ||||||||
Non-Qualified Stock Option (right to buy - DV001431) | $ 9.3614 (7) | 06/30/2000(8) | 06/30/2010 | Common Stock | 1,947 (7) | 1,947 (7) | D | ||||||||
Non-Qualified Stock Option (right to buy - SF002503) | $ 10.1707 (7) | 06/29/2001(8) | 06/29/2011 | Common Stock | 22,500 | 22,500 | D | ||||||||
Non-Qualified Stock Option (right to buy - DV001433) | $ 10.1707 (7) | 06/29/2001(8) | 06/29/2011 | Common Stock | 10,564 (7) | 10,564 (7) | D | ||||||||
Non-Qualified Stock Option (right to buy - T0000641) | $ 10.1707 (7) | 06/29/2001(8) | 06/29/2011 | Common Stock | 4,146 | 4,146 | D | ||||||||
Non-Qualified Stock Option (right to buy - DV001428) | $ 10.1707 (7) | 06/29/2001(8) | 06/29/2011 | Common Stock | 1,947 (7) | 1,947 (7) | D | ||||||||
Non-Qualified Stock Option (right to buy - DF002166) | $ 14.2351 (7) | 07/01/2002(8) | 07/01/2012 | Common Stock | 22,500 | 22,500 | D | ||||||||
Non-Qualified Stock Option (right to buy - DV001437) | $ 14.2351 (7) | 07/01/2002(8) | 07/01/2012 | Common Stock | 10,564 (7) | 10,564 (7) | D | ||||||||
Non-Qualified Stock Option (right to buy - T0000647) | $ 14.2351 (7) | 07/01/2002(8) | 07/01/2012 | Common Stock | 4,146 | 4,146 | D | ||||||||
Non-Qualified Stock Option (right to buy - DV001427) | $ 14.2351 (7) | 07/01/2002(8) | 07/01/2012 | Common Stock | 1,947 (7) | 1,947 (7) | D | ||||||||
Non-Qualified Stock Option (right to buy - DF002876) | $ 18.1003 (7) | 06/30/2003(8) | 06/30/2013 | Common Stock | 7,500 | 7,500 | D | ||||||||
Non-Qualified Stock Option (right to buy - DV001438) | $ 18.1003 (7) | 06/30/2003(8) | 06/30/2013 | Common Stock | 3,521 (7) | 3,521 (7) | D | ||||||||
Non-Qualified Stock Option (right to buy - T0000813) | $ 18.1003 (7) | 06/30/2003(8) | 06/30/2013 | Common Stock | 1,382 | 1,382 | D | ||||||||
Non-Qualified Stock Option (right to buy - DV001439) | $ 18.1003 (7) | 06/30/2003(8) | 06/30/2013 | Common Stock | 649 (7) | 649 (7) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GREEN STEPHEN L 105 ROWAYTON AVENUE ROWAYTON, CT 06853 |
X |
Stephen L. Green | 07/03/2007 | |
**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) | These are restricted shares issued under the Issuer's 1997 Stock Option and Restricted Stock Plan in payment of fees owed for services as an independent director. All such shares are subject to vesting in three increments, with the first vesting occurring as of the date the shares were issued and then annually thereafter. |
(2) | Includes 7,398 shares of Restricted Stock Units ("RSUs") which have vested and for which the reporting person has opted to defer receipt until a future date. |
(3) | Represents shares of common stock of the Issuer vested on the third annual vesting date of a 06/30/2004 award of RSUs. |
(4) | Includes 4,438 shares of RSUs (2,960 were released to Reporting Person 06/30/07) which have vested and for which the reporting person has opted to defer receipt until a future date. |
(5) | Represents shares of common stock of the Issuer vested on the second annual vesting date of a 06/30/2005 award of RSUs. |
(6) | Represents shares of common stock of the Issuer vested on the first annual vesting date of a 06/30/2006 award of RSUs. |
(7) | Due to a special cash dividend of $15.00, paid by Issuer on April 2, 2007, to shareholders of record on March 27, 2007, the option exercise price and number of shares has been adjusted to maintain the value of the option award, post-dividend. |
(8) | The options were automatically granted under the Issuer's 1997 Amended and Restated Stock Option and Restricted Stock Plan, and are fully vested and immediately exercisable upon grant. |
Remarks: CONTINUED ON ADDITIONAL FORM 4 FILED ON THIS SAME DATE. |