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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 | ||||||||
Phantom Stock Units | (3) | 01/01/2015 | M | 220 (1) | (4) | (4) | Common Stock | 220 | $ 0 | 30,636 (1) (5) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CARLINI BARBARA D 33 COFFEE LANE WATERBURY, VT 05676 |
X |
/s/ Kristin E. Blazewicz, pursuant to a Power of Attorney | 02/25/2015 | |
**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 original Form 4 filed on January 5, 2015 (the "Original Form 4") incorrectly reported, due to administrative error, the number of Phantom Stock Units settled on January 1, 2015. This Form 4/A amends the Original Form 4 to correct the number of Phantom Stock Units settled on January 1, 2015 from 3,467 to 220. |
(2) | Reflects the reporting person's beneficial ownership as of the date of the filing of the Original Form 4. This amount does not include the 979 shares of Common Stock acquired by the reporting person upon the January 30, 2015 grant of fully vested restricted stock units by the Company to the reporting person, which were reported on a Form 4 filed by the reporting person on February 3, 2015. |
(3) | Each Phantom Stock Unit is the economic equivalent of one share of Common Stock. |
(4) | The Phantom Stock Units were granted to the reporting person under the Company's 2002 Deferred Compensation Plan, as amended. This Form 4/A is being filed to report the settlement on January 1, 2015 of 220 Phantom Stock Units for shares of Common Stock pursuant to the reporting person's previously made election to defer. |
(5) | Reflects the reporting person's beneficial ownership as of the date of the filing of the Original Form 4. |