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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) | $ 18.74 | 01/03/2002 | A | 2,000 | (3) | (3) | Common Stock | 2,000 | $ 0 | 0 (2) | D | ||||
Restricted Stock Units (in lieu of restricted stock) | (4) | 05/10/2002 | A | 516 | (4) | (4) | Common Stock | 516 | (1) | 1,373.5 (2) | D | ||||
Stock Option (right to buy) | $ 17.44 | 01/02/2003 | A | 2,358 | (3) | (3) | Common Stock | 2,358 | $ 0 | 0 (2) | D | ||||
Restricted Stock Units (in lieu of restricted stock) | (4) | 01/02/2003 | A | 573 | (4) | (4) | Common Stock | 573 | (1) | 1,373.5 (2) | D | ||||
Restricted Stock Units | (5) | 01/03/2005 | A | 408 | (5) | (5) | Common Stock | 408 | $ 0 | 813 (2) | D | ||||
Restricted Stock Units | (6) | 05/06/2005 | A | 660 | (6) | (6) | Common Stock | 660 | $ 0 | 6,650.1 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ALDRICH LAWRENCE J 1 S. CHURCH AVENUE SUITE 201 TUCSON, AZ 85701 |
X |
Amy J. Welander, Attorney in Fact | 03/24/2010 | |
**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 reporting person exchanged restricted stock shares for an equivalent number of restricted stock units in lieu of restricted stock shares on the date of the grant of such restricted stock. |
(2) | The reporting person included the transaction being reported in its holdings listed in this column, but mistakenly did not previously report the underlying transaction. As such, current holdings are shown. The shares or units, as applicable, being reported in this filing were reflected in the reporting person's holdings as disclosed in prior proxy statements filed by UniSource Energy Corporation. |
(3) | The options vest as follows: 1/3 on the first anniversary of the date of the grant, 1/3 on the second anniversary of the date of the grant, and 1/3 on the third anniversary of the date of the grant. They expire on the date that is 10 years from the date of grant. |
(4) | The restricted stock units in lieu of restricted stock vest on the third anniversary of the date of grant and are payable after vesting in accordance with the election of the reporting person on the date of grant. |
(5) | The restricted stock units vest as follows: 1/3 on the first anniversary of the date of grant, 1/3 on the second anniversary of the date of the grant, and 1/3 on the third anniversary of the date of the grant and are payable upon the reporting person's termination of service with UniSource Energy Corporation. |
(6) | The restricted stock units were awarded as equity compensation to the reporting person and vest on the first anniversary of the date of grant and are payable upon the reporting person's termination of service with UniSource Energy Corporation. |