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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 | ||||||||
Stock Option (right to buy) (2) | $ 5 | 08/06/2007 | A | 26,000 | 02/15/2003 | 02/15/2013 | Common Stock | 26,000 | $ 0 | 26,000 | D | ||||
Stock Option (right to buy) (2) | $ 5 | 08/07/2007 | A | 26,000 | 02/15/2003 | 02/15/2013 | Common Stock | 26,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy) (2) | $ 6.25 | 08/08/2007 | A | 22,000 | (3) | 01/15/2009 | Common Stock | 22,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy) (2) (4) | $ 9.8 | 08/08/2007 | A | 52,500 | (5) | 02/15/2010 | Common Stock | 52,500 | $ 0 | 17,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TERRELL BROOKS L C/O HEARTLAND PAYMENT SYSTEMS, INC. 90 NASSAU STREET PRINCETON, NJ 08542 |
Chief Technology Officer |
/s/ Brooks L. Terrell | 08/08/2007 | |
**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) | In addition, Mr. Terrell indirectly owns 550,000 shares of Common Stock of the Issuer held by the B. Terrell Limited Partnership, a Texas limited partnership, of which Mr. Terrell is the general partner. |
(2) | The options were granted under Issuer's Second Amended and Restated 2000 Equity Incentive Plan. |
(3) | The options were granted on January 15, 2004 with a four year vesting period. As of the date of this filing, all of the options have vested. |
(4) | The exercise price and the number of shares of common stock underlying the options are adjusted to reflect the Issuer's 2-for-1 stock split that became effective as of July 26, 2005. |
(5) | The options were granted on February 15, 2005 with a four year vesting period. As of the date of this filing, all of the options have vested except for 17,500 which will become vested on February 15, 2008. |