|
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 |
|
| |||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option to buy Common Stock | $ 6.515 | 12/09/2009 | A | 12,500 | (3) | 12/08/2016 | Common Stock | 12,500 | $ 6.515 | 12,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lee William P 55 WATER STREET 11TH FLOOR NEW YORK, NY 10041 |
President, CMC |
William Lee by Scott Spitzer under Power of Attorney | 12/11/2009 | |
**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) | Restricted Stock granted for no-cash consideration in a transaction exempt under Rule 16b-3(d). |
(2) | The number of shares of Common Stock beneficially owned as of the date reported, including the number of deferred stock units credited to the Reporting Person under Company plans, as permitted under applicable SEC rules, and including Restricted Stock granted under the 1999 Incentive Compensation Plan for no-cash consideration in a transaction exempt under Rule 16b-3(d). This Restricted Stock grant will vest by a fourth on the first four anniversaries of the grant, to be fully vested in four years. The entire grant will immediately vest upon the grantee's retirement with the approval of the Board of Directors, his permanently disability or death. |
(3) | Incentive Stock Options granted under the Company's 1999 Incentive Compensation Plan. Options become exercisable in 25% increments on the first four anniversaries of the grant. |