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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 | ||||||||
Restricted Stock Units | $ 0 | 09/28/2018 | D | 929 | 08/25/2020(2) | (2) | Common Stock, Par Value $1.00 | 929 | $ 0 | 531 | D | ||||
Restricted Stock Units | $ 0 | 09/28/2018 | M | 531 | 08/25/2020(2) | (2) | Common Stock, Par Value $1.00 | 531 | $ 0 | 0 | D | ||||
Restricted Stock Units | $ 0 | 09/28/2018 | D | 1,078 | 08/24/2021(3) | (3) | Common Stock, Par Value $1.00 | 1,078 | $ 0 | 0 | D | ||||
Performance Stock Units | $ 0 | 09/28/2018 | D | 921 | (4) | (4) | Common Stock, Par Value $1.00 | 921 | $ 0 | 2,759 | D | ||||
Performance Stock Units | $ 0 | 09/28/2018 | D | 1,713 | (5) | (5) | Common Stock, Par Value $1.00 | 1,713 | $ 0 | 1,207 | D | ||||
Performance Stock Units | $ 0 | 09/28/2018 | D | 2,156 | (6) | (6) | Common Stock, Par Value $1.00 | 2,156 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Young Christopher D. HARRIS CORPORATION 1680 UNIVERSITY AVENUE ROCHESTER, NY 14610 |
Former Pres., Comm. Systems |
By: /s/ Scott T. Mikuen, Attorney-in-Fact, For: Christopher D. Young | 10/02/2018 | |
**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) | Prorated vesting of restricted stock units from award described in note (2) below. (Each restricted stock unit represents a contingent right to 1 share of Issuer's common stock.) |
(2) | Of 1,490 restricted stock units awarded on 8/25/2017 (previously reported and originally scheduled to vest on 8/25/2020), upon termination of the reporting person's employment on 9/28/2018, 929 were forfeited and 531 vested due to proration for service. (Each restricted stock unit represents a contingent right to 1 share of Issuer's common stock.) |
(3) | Of 1,078 restricted stock units awarded on 8/24/2018 (previously reported and originally scheduled to vest on 8/24/2021), upon termination of the reporting person's employment on 9/28/2018, all were forfeited. (Each restricted stock unit represents a contingent right to 1 share of Issuer's common stock.) |
(4) | Of 3,680 performance stock units awarded on 8/26/2016 (previously reported and scheduled to vest at end of 3-fiscal-year performance period on 6/28/2019), upon termination of the reporting person's employment on 9/28/2018, 921 were forfeited and 2,759 were prorated for service (and remain subject to future vesting and also subject to future adjustment based on award payout formula). (Each performance stock unit represents a contingent right to 1 share of Issuer's common stock.) |
(5) | Of 2,920 performance stock units awarded on 8/25/2017 (previously reported and scheduled to vest at end of 3-fiscal-year performance period on 7/3/2020), upon termination of the reporting person's employment on 9/28/2018, 1,713 were forfeited and 1,207 were prorated for service (and remain subject to future vesting and also subject to future adjustment based on award payout formula). (Each performance stock unit represents a contingent right to 1 share of Issuer's common stock.) |
(6) | Of 2,156 performance stock units awarded on 8/24/2018 (previously reported and scheduled to vest at end of 3-fiscal-year performance period on 7/2/2021), upon termination of the reporting person's employment on 9/28/2018, all were forfeited. (Each performance stock unit represents a contingent right to 1 share of Issuer's common stock.) |
Remarks: Exhibit List: Exhibit 24 - Power of Attorney |