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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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| (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
| Option (Right to buy) | $ 59.45 | Â | Â | Â | Â | Â | 12/15/2007 | 07/02/2017 | Common Shares | Â | 179,653 | Â | ||
| Option (Right to buy) | $ 35.35 | Â | Â | Â | Â | Â | Â (6) | 05/21/2018 | Common Shares | Â | 226,425 | Â | ||
| Option (Right to buy) | $ 26.95 | Â | Â | Â | Â | Â | Â (7) | 05/20/2019 | Common Shares | Â | 244,000 | Â | ||
| Option (Right to buy) | $ 26.66 | Â | Â | Â | Â | Â | Â (7) | 05/25/2020 | Common Shares | Â | 250,000 | Â | ||
| Option (Right to buy) | $ 29.94 | Â | Â | Â | Â | Â | Â (7) | 05/13/2021 | Common Shares | Â | 230,000 | Â | ||
| Option (Right to buy) | $ 20.79 | Â | Â | Â | Â | Â | Â (9) | 05/16/2022 | Common Shares | Â | 309,200 | Â | ||
| Option (Right to buy) | $ 22.6 | Â | Â | Â | Â | Â | Â (13) | 05/10/2023 | Common Shares | Â | 186,000 | Â | ||
| Option (Right to buy) | $ 26.83 | Â | Â | Â | Â | Â | Â (13) | 05/16/2024 | Common Shares | Â | 225,000 | Â | ||
| Option (Right to buy) | $ 29.26 | Â | Â | Â | Â | Â | Â (13) | 05/11/2025 | Common Shares | Â | 236,100 | Â | ||
| Option (Right to buy) | $ 29.45 | Â | Â | Â | Â | Â | Â (13) | 08/15/2026 | Common Shares | Â | 53,800 | Â | ||
| Restricted Stock Units | Â | Â | Â | Â | Â | Â | Â (11) | 05/16/2017 | Common Shares | Â | 47,996 | Â | ||
| Restricted Stock Units | Â | Â | Â | Â | Â | Â | Â (11) | 05/11/2018 | Common Shares | Â | 51,761 | Â | ||
| Restricted Stock Units | Â | Â | Â | Â | Â | Â | Â (11) | 05/11/2019 | Common Shares | Â | 76,273 | Â | ||
| Series A Common Shares | Â | Â | Â | Â | Â | Â | Â (1) | Â (1) | Common Shares | Â | 2,022,895 (2) | By Voting Trust | ||
| Deferred Compensation | Â | 12/31/2016 | Â | J | 1,264 | Â | Â (3) | Â (3) | Common Shares | (3) | 66,774 | Â | ||
| Series A Common Shares | Â | Â | Â | Â | Â | Â | Â (1) | Â (1) | Common Shares | Â | 9,644 | Â | ||
| Series A Common Shares | Â | Â | Â | Â | Â | Â | Â (1) | Â (1) | Common Shares | Â | 297 | By Wife | ||
| Series A Common Shares | Â | Â | Â | Â | Â | Â | Â (1) | Â (1) | Common Shares | Â | 11,424 (10) | By Trust | ||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| CARLSON LEROY T JR 30 N. LASALLE ST., STE. 4000 CHICAGO, IL 60602 |
 X |  |  President and CEO |  |
| Julie D. Mathews, by power of atty | 01/17/2017 | |
| **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) | Series A Common shares are convertible, on a share-for-share basis, into common shares. |
| (2) | Reporting person is one of four trustees which is record owner of these shares which files its holdings on forms 4. Of these Series A Common shares, 116,295 are held as custodian for children and 10,800 are held by spouse, and 749,344 shares are held by a family partnership of which reporting person is a general partner and 29,368 that reporting person is trustee of trusts which his children beneficially own the shares in the trusts. . Of the remaining shares, 3,467 are owned in individual reporting person's name. In addition, 1,113,621 Series A common Shares owned by family limited partnerships. Reporting person disclaims beneficial ownership of shares held for the benefit of persons other than the reporting person. |
| (3) | Reporting person deferred bonuses pursuant to the TDS Long Term Incentive Plans. Employer matches vest ratably at a rate of 33%, 33%, 34% over three years. A total of 64,643 common shares units were vested at 12/31/16. |
| (4) | Voluntary reporting of shares in the TDS 401K. The information is based on a plan statement dated 12/31/16. The number of shares fluctuates and is attributable to the price of the shares on 12/31/16. |
| (5) | Reporting person is one of four trustees which is record owner of these shares which files its holdings on forms 4. Of these Common shares, 107,216 shares are held as custodian for children, 42,817 are held by spouse, 374,126 are held by a family limited partnership, 89,679 shares through a marital trust, 105,942 are held in a LLC of which the reporting person is the sole voting member, 687,833 shares are held by a family partnership of which reporting person is a general partner, and 27,182 shares that reporting person is trustee of trusts which his children beneficially own shares in the trusts. Also includes 60,321 shares in a trust, the trustee of which is a third party & the beneficiaries include the descendents of the reporting person & his spouse. 63,841 shares are owned by individual reporting person. Reporting person's wife's GRAT owns 297,709. Reporting person disclaims beneficial ownership of shares held for the benefit of persons other than the reporting person. |
| (6) | Granted under the 2004 Long Term Incentive Plan. Options vest over a 3 year period with one-third vesting on Aug. 26, 2009, one-third vesting on Aug. 26, 2010 and one-third vesting Aug. 26, 2011. |
| (7) | Granted under the 2004 Long-Term Incentive Plan. Options vest over a 3 year period with one-third becoming exercisable on the first anniversary, one-third on the second anniversary and one-third becoming exercisable on the third anniversary. |
| (8) | Includes 3768 shares owned by children. Reporting person disclaims beneficial ownership of shares owned by children. |
| (9) | Granted under the 2011 Long Term Incentive Plan. Options vest over a 3 year period with one-third becoming exercisable on the first anniversary, one-third on the second anniversary and one-third becoming exercisable on the third anniversary. |
| (10) | Voluntary report of shares held in trust, the trustee of which is a third party and beneficiaries of which include the descendants of the reporting person and his spouse. Reporting person disclaims beneficial ownership of such shares. |
| (11) | Restricted stock unit award pursuant to the 2011 Long Term Incentive Plan. Stock units will become vested on third anniversary. |
| (12) | On August 16, 2016 the reporting person's spouse's GRAT transferred voting trust certificates representing 11,629 shares to the spouse individually. The reporting person previous reported all securities held by spouse and spouse's GRAT. Accordingly, the transfer did not result in the change in the number of securities reported as beneficially owned by reporting person. |
| (13) | Vests on the third anniversary |