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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) | $ 4.16 | 07/17/2013 | A | 80,269 (4) | (5) | 06/17/2017 | Common Stock | 80,269 | $ 0 | 80,269 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 5.84 | 07/17/2013 | A | 64,552 (4) | (5) | 03/26/2018 | Common Stock | 64,552 | $ 0 | 64,552 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 3.22 | 07/17/2013 | A | 92,782 (4) | (5) | 02/25/2019 | Common Stock | 92,782 | $ 0 | 92,782 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 3.09 | 07/17/2013 | A | 57,158 (4) | (6) | 03/16/2020 | Common Stock | 57,158 | $ 0 | 57,158 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 3.76 | 07/17/2013 | A | 122,680 (4) | (7) | 02/23/2021 | Common Stock | 122,680 | $ 0 | 122,680 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 2 | 07/17/2013 | A | 272,148 (4) | (8) | 02/22/2022 | Common Stock | 272,148 | $ 0 | 272,148 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Alves Paget Leonard 6200 SPRINT PARKWAY OVERLAND PARK, KS 66251 |
Chief Sales Officer |
/s/ Timothy P. O'Grady Attorney-in-Fact | 07/18/2013 | |
**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 restricted stock units were acquired in connection with the merger (the "Merger") of Sprint Nextel Corporation ("Old Sprint") with and into a wholly owned subsidiary of Sprint Corporation (the "Issuer'). The Issuer restricted stock units were acquired in exchange for Old Sprint restricted stock units based on a conversion formula that was dependent on the trading prices of common stock of the Issuer for five days following the effective time of the Merger (the "Reference Period"). |
(2) | Includes 285,111 restricted stock units which are subject to forfeiture until they vest. |
(3) | Represents ownership interests in the stock fund of the Issuer under the Sprint Corporation 401(k) plan. |
(4) | These stock options were acquired in connection with the Merger. The Issuer stock options were acquired in exchange for Old Sprint stock options based on a conversion formula that was dependent on the trading prices of common stock of the Issuer for the Reference Period. |
(5) | Stock options are fully vested. |
(6) | Stock options vest/vested 50% on March 16, 2013 and March 16, 2014. |
(7) | Stock options vest/vested 33 1/3% on February 23, 2012, February 23, 2013 and February 23, 2014. |
(8) | Stock options vest/vested 33 1/3% on February 22, 2013, February 22, 2014 and February 22, 2015. |