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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 Options | $ 11.48 | 12/08/2016 | M | 3,032 (4) | 01/25/2008(2) | 01/25/2017 | Common Stock | 843 | $ 11.48 | 17,820 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Maricondo Peter E 4 DEXTER DRIVE SOUTH BASKING RIDGE, NJ 07920 |
X |
Peter E. Maricondo, poa Linda B. McDermott | 12/08/2016 | |
**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) | There was a 10% stock dividend on September 30, 2016, for which Mr. Maricondo received additional shares. |
(2) | 3,032 stock options were granted on 1/25/07, which vest 1/3 each year commencing 1/25/08; 1/25/09 and 1/25/10 and expire on 1/25/17. Mr. Maricondo received 843 shares of common stock through a "net-out" with the Company on 12/8/16. |
(3) | 17,820 stock options were granted to Mr. Maricondo of which 13,420 are currently exercisable. |
(4) | Mr. Maricondo exercised 3,032 stock options at $11.48 through a "net out" with the Company based on the stock price of $15.90 resulting in the issuance of 843 shares on common stock. |