UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option Grant | Â (4) | 02/24/2015 | Common Stock | 52,500 | $ 20.28 | D | Â |
Stock Option Grant | Â (4) | 02/22/2016 | Common Stock | 52,500 | $ 26.89 | D | Â |
Stock Option Grant | Â (4) | 02/22/2017 | Common Stock | 43,750 | $ 36.57 | D | Â |
Stock Option Grant | Â (4) | 09/05/2017 | Common Stock | 20,000 | $ 28.61 | D | Â |
Stock Option Grant | Â (4) | 02/21/2018 | Common Stock | 50,000 | $ 27.2 | D | Â |
Stock Option Grant | Â (4) | 02/12/2019 | Common Stock | 25,000 | $ 19.1 | D | Â |
Stock Option Grant | Â (4) | 02/11/2020 | Common Stock | 25,000 | $ 24.83 | D | Â |
Stock Option Grant | Â (4) | 02/16/2021 | Common Stock | 27,500 | $ 34.34 | D | Â |
Stock Option Grant | Â (4) | 02/23/2022 | Common Stock | 30,000 | $ 38.11 | D | Â |
Phantom Stock | Â (5) | Â (5) | Common Stock | 982.422 | $ 38.92 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BERDING JOHN B 301 EAST FOURTH STREET 27TH FLOOR CINCINNATI, OH 45202 |
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John B. Berding By: Karl J. Grafe, as Attorney-in-Fact | 05/23/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Includes 115,348 shares of restricted stock granted pursuant to Issuer's stock incentive plan. |
(2) | Shares owned by the Reporting Person in the Issuer's Employee Stock Purchase Plan (the "ESPP"). The ESPP information reported herein is based on a plan statement dated as of April 30, 2012. |
(3) | Represents shares held in the Issuer's 401(k) Retirement and Savings Plan. The number of shares of Common Stock is based on a Plan Statement dated as of April 30, 2012. |
(4) | These Employee Stock Options were granted under the Issuer's Stock Option Plan and 2005 Stock Incentive Plan and become exercisable in five equal installments beginning on the first anniversary of the grant date. |
(5) | Represents amounts held by the Reporting Person in a retirement plan of the Issuer at April 30, 2012. Each share is the economic equivalent of one share of Common Stock. The Reporting Person's account balance is distributed in cash following termination of employment. |