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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) | $ 24.74 | 05/02/2014 | A | 42,330 | (4) | 05/02/2019 | Common Stock | 42,330 | $ 0 (2) | 42,330 | D | ||||
Stock Options (Right to Buy) | $ 0.81 | 05/02/2014 | A | 250,000 | (5) | 05/06/2019(6) | Common Stock | 250,000 | $ 0 (2) | 250,000 | D | ||||
Stock Options (Right to Buy) | $ 1.46 | 05/02/2014 | A | 100,000 | (7) | 02/22/2020(6) | Common Stock | 100,000 | $ 0 (2) | 100,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BONACCORSI JOSEPH 1925 WEST FIELD COURT SUITE 300 LAKE FOREST, IL 60045 |
Secretary |
/s/ Joseph Bonaccorsi | 05/06/2014 | |
**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 award was in the form of a grant of restricted shares, which will vest in four equal installments on May 2, 2015, May 2, 2016, May 2, 2017 and May 2, 2018, so long as the reporting person continues to be employed by the Company. |
(2) | There was no consideration given in exchange for the security. |
(3) | Amount of securities beneficially owned following reported transaction includes shares acquired through annual participation in the Employee Stock Purchase Plan, as follows: 2010 - 13,962 shares; 2011 - 4,118 shares; 2012 - 2,248 shares; and 2013 - 1,871 shares. |
(4) | The Stock Options vest in four equal installments on May 2, 2015, May 2, 2016, May 2, 2017 and May 2, 2018, so long as the reporting person continues to be employed by the Company. |
(5) | The options vested in three annual installments with 83,333 vesting on May 6, 2010 and May 6, 2011, respectively, and 83,334 vesting on May 6, 2012. |
(6) | The expiration date of the options has been amended to extend the term to ten (10) years from date of grant date. No other changes were made to the terms of the options. |
(7) | The options vested in three annual installments with 33,333 vesting on February 22, 2011 and February 22, 2012, respectively, and 33,334 on February 22, 2013. |