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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 | ||||||||
Trinity Phantom Stock Units | $ 0 (1) | 06/30/2006 | A | 390 | (1) | (1) | Common Stock | 390 | $ 40.4 | 26,856 (2) | D | ||||
Stock Option (right to buy) | $ 17.0667 (4) | 06/30/2006 | M | 14,115 | 03/13/1997 | 03/13/2007 | Common Stock | 14,115 (4) | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 22 (5) | 06/30/2006 | M | 7,500 | 07/16/1997 | 07/16/2007 | Common Stock | 7,500 (5) | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 28.625 (6) | 06/30/2006 | M | 7,500 | 07/17/1998 | 07/17/2008 | Common Stock | 7,500 (6) | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NATALICIO DIANA S 2525 STEMMONS FREEWAY DALLAS, TX 75207 |
X |
Michael G. Fortado For: Diana S. Natalicio | 07/05/2006 | |
**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) | The Trinity Phantom Stock Units were accrued under the Trinity Industries, Inc. Deferred Plan for Directors Fees. Stock units are converted at "1 - for - 1" (a rate of one stock unit per one share of Trinity common stock). Settlement of the account will be in cash after the reporting person's retirement. |
(2) | On May 26, 2006, the common stock of Trinity Industries, Inc. split 3-for-2, resulting in the reporting person's ownership of 8,822 Additional Stock Units. |
(3) | On May 26, 2006, the common stock of Trinity Industries, Inc. split 3-for-2, resulting in the reporting person's ownership of 1,750 additional shares of common stock. |
(4) | This option was previously reported as covering 9,410 shares at an exercise price of $25.60 per share, but was adjusted to reflect the stock split that occurred on May 26, 2006. |
(5) | This option was previously reported as covering 5,000 shares at an exercise price of $33.00 per share, but was adjusted to reflect the stock split that occurred on May 26, 2006. |
(6) | This option was previously reported as covering 5,000 shares at an exercise price of $42.9375 per share, but was adjusted to reflect the stock split that occurred on May 26, 2006. |