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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 (Right to Buy) Granted 2/21/00 | (1) | 04/01/2007 | G(1) | V | 0 (1) | (1) | (1) | Common Stock | (1) | (1) | 61,015 (2) | I | Held by TKM, Ltd. (1) | ||
Stock Option (Right to Buy) Granted 02/21/00 | (1) | 04/01/2007 | S(1) | 0 (1) | (1) | (1) | Common Stock | (1) | (1) | 61,015 (2) | I | Held by TKM, Ltd. (1) | |||
Stock Option (Right to Buy) Granted 02/22/01 | (1) | 04/01/2007 | G(1) | V | 0 (1) | (1) | (1) | Common Stock | (1) | (1) | 33,775 (2) | I | Held by TKM, Ltd. | ||
Stock Option (Right to Buy) Granted 02/22/01 | (1) | 04/01/2007 | S(1) | 0 (1) | (1) | (1) | Common Stock | (1) | (1) | 33,775 (2) | I | Held by TKM, Ltd. |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FALK THOMAS J P.O. BOX 619100 DALLAS, TX 75261-9100 |
X | Chairman of the Board and CEO |
John W. Wesley, as attorney-in-fact for Thomas J. Falk | 04/03/2007 | |
**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 reported securities are held by TKM, Ltd., a family limited partnership which is owned by (i) an entity owned by the reporting person and his wife as general partner, (ii) the reporting person and his wife as limited partners, and (iii) two family trusts previously established for the benefit of the reporting person's son as limited partners. As previously reported, the reporting person has periodically transferred stock options to TKM, Ltd. and some of those options have previously been exercised. On April 1, 2007, the reporting person and his wife transferred to the two family trusts, by gift and by sale, additional limited partnership interests in TKM, Ltd. As a result of these transactions, the limited partnership interests in TKM, Ltd. held by the reporting person and his wife decreased from 54% to 20% and the limited partnership interests in TKM, Ltd. held by the two family trusts in the aggregate increased from 44% to 78%. |
(2) | There was no change in the number of securities owned by TKM, Ltd. as a result of the transfer of limited partnership interests. |
(3) | Held by the Trustee of the Kimberly-Clark Corporation Incentive Investment Plan. Reporting person beneficially owns the shares as of recent practicable date. |
(4) | TKM II, Ltd. is a family limited partnership which is owned by (i) an entity owned by the reporting person and his wife as general partner, and (ii) the reporting person and his wife as limited partners. |