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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) | $ 9.44 (8) | 06/04/2015 | M | 120,000 (9) | 11/08/2006(10) | 11/08/2015 | Cablevision NY Group Class A Common Stock | 120,000 | $ 0 | 0 | D | ||||
Options (Right to Buy) | $ 9.44 (8) | 06/04/2015 | M | 60,000 (9) | 11/08/2008 | 11/08/2015 | Cablevision NY Group Class A Common Stock | 60,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DOLAN JAMES LAWRENCE C/O SCOTT METSCH KNICKERBOCKER GROUP LLC, PO BOX 420 OYSTER BAY, NY 11771 |
X | CEO | Member of 13D Group | |
Dolan Kristin A C/O SCOTT METSCH KNICKERBOCKER GROUP LLC, PO BOX 420 OYSTER BAY, NY 11771 |
X | COO | Trustee of Member of 13D Group |
/s/ James L. Dolan | 06/08/2015 | |
**Signature of Reporting Person | Date | |
/s/ Kristin A. Dolan | 06/08/2015 | |
**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) | Includes shares held jointly with Kristin A. Dolan. |
(2) | Shares held directly by James L. Dolan, Ms. Dolan's spouse, 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. |
(3) | This transaction was executed in multiple trades at prices ranging from $23.650 to $24.048 per share, inclusive. The price reported above reflects the weighted average sale price. Mr. Dolan hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(4) | Shares held directly by Kristin A. Dolan (or indirectly by Kristin A. Dolan through a 401(k) plan), Mr. Dolan's spouse, 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 on James L. Dolan's direct holdings. |
(5) | Shares of Class A Common Stock held by James L. Dolan, as custodian for the Reporting Persons' minor children. |
(6) | 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. |
(7) | Shares held by members of the Reporting Persons' household. |
(8) | Each stock option was previously reported at an exercise price of $25.51, but has been adjusted to reflect dividends. |
(9) | Exercise of options under the Company's Employee Stock Plan, exempt under Rule 16b-3. |
(10) | Grant vested in increments over three years on November 8, 2006, November 8, 2007 and November 8, 2008. |