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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) | $ 29.36 | 04/27/2001 | 04/27/2011 | Common Stock | 3,000 | 3,000 | D | ||||||||
Stock Option (Right to Buy) | $ 32.08 | 04/25/2002 | 04/25/2012 | Common Stock | 3,000 | 3,000 | D | ||||||||
Stock Option (Right to Buy) | $ 28.43 | 04/24/2003 | 04/24/2013 | Common Stock | 3,000 | 3,000 | D | ||||||||
Stock Option (Right to Buy) | $ 33.55 | 04/23/2004 | 04/23/2014 | Common Stock | 3,000 | 3,000 | D | ||||||||
Stock Option (Right to Buy) | $ 32.76 | 04/22/2005 | 04/22/2015 | Common Stock | 3,000 | 3,000 | D | ||||||||
Deferred Stock Units | $ 0 (3) | 10/29/2010 | A(4) | 336 | (5) | (5) | Common Stock | 336 | $ 51 | 26,437.937 (6) | D | ||||
Restricted Stock Units | (3) | (7) | (7) | Common Stock | 5,959 | 5,959 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KELLY ARTHUR L KEL ENTERPRISES L.P. 20 SOUTH CLARK STREET, SUITE 2222 CHICAGO, IL 60603 |
X |
Ryan S. Lovitz under Power of Attorney for Arthur L. Kelly | 11/01/2010 | |
**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) | Shares reported are held by the Kelly Family Trust and the A.L. Kelly Trust for which the reporting person is a trustee and beneficiary. |
(2) | Includes 153.913 shares acquired under the Corporation's Dividend Reinvestment and Direct Stock Purchase Plan. |
(3) | 1 for 1. |
(4) | Payment of fees in stock under the Corporation's Directors' 1993 Fee Plan. |
(5) | Scheduled for issuance in ten equal annual installments after the earliest of July 1, 2012, termination of service as a director, death or upon a change in control. |
(6) | Includes 175.771 deferred stock units acquired through exempt dividend reinvestments. |
(7) | All restrictions lapse upon the earliest of retirement from the Board, death or a change in control; the reporting person will receive the underlying shares upon the earliest of July 1, 2012 (in which case he will receive them in ten equal installments), death or a change in control. |