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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 | |
Wilkins Michael T 118 SECOND AVENUE SE P.O. BOX 73909 CEDAR RAPIDS, IA 52407-3909 |
Executive Vice President |
/s/ Michael T. Wilkins by Dianne M. Lyons, Attorney-in-Fact | 02/06/2013 | |
**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 deemed execution date of this transaction is the statement date as provided by the Issuer's 401(k)Plan trustee/administrator. |
(2) | Shares acquired through payroll deduction and participation in Issuer's 401(k) Plan. |
(3) | This transaction qualifies as a non-discretionary transaction from a tax-qualified plan and is voluntarily reported on Form 4. |
(4) | Represents the approximate number of shares acquired by the trustee/administrator of the Issuer's 401(k)Plan for the Reporting Person's benefit, based on a statement of the 401(k) Plan trustee/administrator. |
(5) | The price per share is based on a statement provided by the Issuer's 401(k) Plan trustee/administrator. |
(6) | The number of securities shown as being held in or acquired by the Issuer's 401(k) account for the Reporting Persons' benefit are the approximate number of shares of common stock for which Reporting Person has the right to direct the vote under the Issuer's 401(k) plan. Such shares are not directly allocated to 401(k) plan participants, but are instead held in a unitized fund consisting primarily of common stock, together with a small percentage of short-term investments. 401(k) Plan participants acquire units of this fund. |
(7) | The Reporting Person serves as co-trustee of the Issuer's defined benefit plan and previously reported the number of shares held by this plan on his Form 4 filing. On December 17, 2012, the Issuer repurchased 202,058 shares of Issuer common stock previously held by this plan. None of the shares held by this plan are allocated to the Reporting Person's individual benefit and he did not derive a direct or indirect pecuniary benefit from these shares. These shares are no longer reported on Reporting Person's subsequent filings. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose. |
(8) | The Reporting Person serves as co-trustee of this employee benefit plan and disclaims beneficial ownership of any Issuer securities held by this plan that are not allocated for his individual benefit, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose. Only 1,752 shares held in this plan are allocated specifically for the Reporting Person's individual benefit. |
(9) | The total number of securities beneficially held directly by the Reporting Person following the reported transaction includes: 3,894 shares of restricted stock issued under the Issuer's 2008 Stock Plan which vest, subject to certain conditions, on 02/18/2016; 2,313 shares of resticted stock issued under the Issuer's 2008 Stock Plan which vest, subject to certain conditions, on 05/21/2013; and 3,372 shares held by the Reporting Person individually. |