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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 | ||||||||
Options (Right to Buy) | $ 17.64 | 03/03/2014 | A | 2,000,000 (9) | 03/03/2017 | 03/07/2024 | Cablevision NY Group Class A Common Stock | 2,000,000 | $ 0 | 2,000,000 | D (10) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DOLAN JAMES LAWRENCE 1111 STEWART AVENUE BETHPAGE, NY 11714 |
X | CEO & President | Member of 13D Group | |
Dolan Kristin A 1111 STEWART AVENUE BETHPAGE, NY 11714 |
X | Trustee of Member of 13D Group |
/s/ Kerrie Juras, Attorney-in-Fact for James L. Dolan | 03/05/2014 | |
**Signature of Reporting Person | Date | |
/s/ Kerrie Juras, Attorney-in-Fact for Kristin A. Dolan | 03/05/2014 | |
**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) | Grant of restricted shares of Class A common stock pursuant to the Company's Employee Stock Plan, exempt under Rule 16b-3. All the shares will become fully vested and unrestricted on the third anniversary of the date of the grant. |
(2) | Includes restricted shares |
(3) | Shares held directly by Kristin A. Dolan (or indirectly by Kristin A. Dolan through a 401(k) plan) and indirectly held by James L. Dolan. James L. Dolan disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that he is, for the purposes of Section 16 or for any other purpose, the beneficial owner of such securities. Excludes shares held jointly with James L. Dolan, which are reflected in James L. Dolan's direct holdings. |
(4) | Includes shares held jointly with Kristin A. Dolan. |
(5) | Shares held directly by James L. Dolan and indirectly held by Kristin A. Dolan or held jointly with Kristin A. Dolan. Kristin A. Dolan disclaims beneficial ownership of these securities (other than shares held jointly with James L. Dolan) and this report shall not be deemed to be an admission that she is, for the purposes of Section 16 or for any other purpose, the beneficial owner of such securities. |
(6) | Shares of Class A Common Stock held by James L. Dolan, as custodian for the Reporting Persons' minor children. |
(7) | Shares held by members of the Reporting Persons' household. |
(8) | Reporting Persons disclaim beneficial ownership of these securities and this report shall not be deemed to be an admission that either is, for the purposes of Section 16 or for any other purpose, the beneficial owner of such securities. |
(9) | Grant of options under the Company's Employee Stock Plan, exempt under Rule 16b-3. The options will vest and become exercisable on the third anniversary of the grant date. |
(10) | Options owned directly by James L. Dolan. Ms. Kristin A. Dolan disclaims beneficial ownership of these options and this report shall not be deemed to be an admission that she is, for the purposes of Section 16 or for any other purpose, the beneficial owner of such securities. |