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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 | ||||||||
Employee Stock Option | $ 36.42 | 09/04/2013 | J | 2,964 (2) | (2) | (2) | Common Stock | 2,964 | $ 36.42 | 3,085 | D | ||||
Employee Stock Option | $ 37.8 | 09/04/2013 | J | 8,436 (3) | (3) | (3) | Common Stock | 8,436 | $ 37.8 | 2,872 | D | ||||
Employee Stock Option | $ 43.82 | 09/04/2013 | J | 12,478 (4) | (4) | (4) | Common Stock | 12,478 | $ 43.82 | 2,550 | D | ||||
Restricted Stock Unit | (5) | 09/04/2013 | J | 1,363 (6) | (6) | (6) | Common Stock | 1,363 | (5) | 6,978 | D | ||||
Restricted Stock Unit | (5) | 09/04/2013 | J | 3,871 (7) | (7) | (7) | Common Stock | 3,871 | (5) | 3,921 | D | ||||
Restricted Stock Unit | (5) | 09/04/2013 | J | 4,005 (8) | (8) | (8) | Common Stock | 4,005 | (5) | 819 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Barry Tina 5301 LEGACY DR. PLANO, TX 75024 |
Executive Vice President |
Wayne R. Lewis, attorney in fact | 09/06/2013 | |
**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 reporting person is participating in DPS Direct Invest, the Issuer's dividend reinvestment stock purchase program. These shares were acquired with the dividend paid to the reporting person on July 5, 2013 pursuant to the Issuer's DPS Direct Invest Prospectus dated December 10, 2012. |
(2) | Reporting Person left the employ of the Issuer on September 4, 2013 (the "Separation Date"). Pursuant to the terms of the Nonqualified Stock Option Agreement (the "Option Agreement") executed in connection with the option grant made by the Issuer to the Reporting Person on 3/2/2011,options to purchase 3,085 shares of the Issuer's common stock (the "Stock") vested on the Separation Date and the options to purchase the remaining 2,964 unvested shares of stock were forfeited. |
(3) | Pursuant to the terms of the Option Agreement executed in connection with the option grant made by the Issuer to the Reporting Person on 3/2/2012,options to purchase 2,872 shares of the Stock vested on the Separation Date and the options to purchase the remaining 8,436 unvested shares of stock were forfeited. |
(4) | Pursuant to the terms of the Option Agreement executed in connection with the option grant made by the Issuer to the Reporting Person on 3/2/2013,options to purchase 2,550 shares of the Stock vested on the Separation Date and the options to purchase the remaining 12,478 unvested shares of stock were forfeited. |
(5) | Each restricted stock unit represents a contingent right to receive one share of the Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009. |
(6) | Pursuant to the terms of the Restricted Stock Unit Agreement (the "RSU Agreement")between the Issuer and the Reporting Person, 1,363 of the restricted stock units awarded on 3/2/2011 have been forfeited. The remaining 6,978 restricted stock units vested on the Separation Date and shall be issued to the Reporting Person pursuant to the RSU Agreement. |
(7) | Pursuant to the terms of the RSU Agreement between the Issuer and the Reporting Person, 3,871 restricted stock units awarded on 3/2/2012 have been forfeited. The remaining 3,921 restricted stock units vested on the Separation Date and shall be issued to the Reporting Person pursuant to the RSU Agreement. |
(8) | Pursuant to the terms of the RSU Agreement between the Issuer and the Reporting Person, 4,005 restricted stock units awarded on 3/2/2013 have been forfeited. The remaining 819 restricted stock units vested on the Separation Date and shall be issued to the Reporting Person pursuant to the RSU Agreement. |