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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 | ||||||||
Non-Qualified Stock Option (right to buy) | $ 35.46 | 06/11/2013 | J | 6,500 | (1) | (1) | Common Stock | 6,500 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 20.31 | 06/11/2013 | J | 8,600 | (1) | (1) | Common Stock | 8,600 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 19.04 | 06/11/2013 | J | 20,000 | (1) | (1) | Common Stock | 20,000 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 13.78 | 06/11/2013 | J | 30,000 | (1) | (1) | Common Stock | 30,000 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 3.53 | 06/11/2013 | J | 25,000 | (1) | (1) | Common Stock | 25,000 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 3.53 | 06/11/2013 | J | 50,000 | (1) | (1) | Common Stock | 50,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HOLDEN RICHMOND Y JR W6316 DESIGN DRIVE GREENVILLE, WI 54942 |
EVP for Educational Resources |
David Vander Ploeg (pursuant to Power of Attorney previously filed) | 06/13/2013 | |
**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) | Pursuant to the Second Amended Joint Plan of Reorganization under Chapter 11 of the Bankruptcy Code (the "Plan") of School Specialty, Inc. (the "Company") and certain of the Company's subsidiaries, which was confirmed by the United States Bankruptcy Court for the District of Delaware on May 23, 2013 and became effective on June 11, 2013 (the "Effective Date"), all equity interests of the Company, and options to purchase such equity interests, that were outstanding prior to the Effective Date were cancelled without consideration on the Effective Date. |