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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CROWN JAMES S 222 N LASALLE STREET STE 2000 CHICAGO, IL 60601 |
X |
/s/ James S. Crown | 01/06/2009 | |
**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) | Withheld shares of Common Stock to satisfy tax withholding obligations on release of restricted shares granted pursuant to Rule 16b-3(c). |
(2) | 1,935 of these Common Stock shares were previously reported as restricted stock. On the transaction date, the restrictions on these shares were removed. In addition, restrictions have been lifted on 160 additional shares previously reported as restricted stock, which shares are being disposed as indicated in Table 1 above. |
(3) | Owned by a partnership, Henry Crown and Company (Not Incorporated), of which the Reporting Person is a partner. |
(4) | Owned by a partnership, Areljay, L.P., of which the Reporting Person is a beneficiary of a trust which is a partner, and a director, officer, and shareholder of a corporation which is a partner. |
(5) | Owned by a partnership, The Crown Fund, of which the Reporting Person is a partner. |
(6) | Owned by partnership, Crown Fund II, of which the Reporting Person is a partner. |
Remarks: As previously reported, the Reporting Person holds 26,330 stock options to purchase Common Stock. The Reporting Person disclaims beneficial ownership of the shares described in footnotes 3 through 6, except to the extent of his beneficial ownership in the entities which own such shares. |