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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) | $ 11.96 (2) | 02/06/2005(2) | 02/06/2014(2) | Common Stock | 1,250 | 1,250 | D | ||||||||
Options (ight to buy) | $ 16.14 (3) | 02/04/2006(3) | 02/04/2015(3) | Common Stock | 2,500 | 2,500 | D | ||||||||
Options (right to buy) | $ 21.55 (4) | 02/03/2007(4) | 02/03/2016(4) | Common Stock | 5,125 | 5,125 | D | ||||||||
Options (right to buy) | $ 24.34 (5) | 02/02/2008(5) | 02/02/2017(5) | Common Stock | 5,125 | 5,125 | D | ||||||||
Options (right to buy) | $ 19.5 (6) | 02/01/2009(6) | 02/01/2018(6) | Common Stock | 32,199 | 32,199 | D | ||||||||
Restricted Stock Units | (7) | (7) | (7) | Common Stock | 8,500 | 8,500 | D | ||||||||
Restricted Stock Units | (8) | (8) | (8) | Common Stock | 12,051 | 12,051 | D | ||||||||
Options (Right to buy) | $ 5.64 (9) | 02/06/2010(9) | 02/06/2019(9) | Common Stock | 36,990 | 36,990 | D | ||||||||
Performance Stock Units | (10) | (10) | (10) | Common Stock | 38,592 | 38,592 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sloan Carolyn 1300 SOUTH MOPAC THIRD FLOOR AUSTIN, TX 78746 |
Vice President Internal Audit |
Signed by Leslie K. O'Neal on behalf of Carolyn Sloan | 08/13/2009 | |
**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 price in Column 4 is a weighted average price. The prices actually paid ranged from $16.60 to $16.71. The reporting person will provide any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. |
(2) | Option vesting schedule for options granted 02/06/04: 1250 on 02/06/05, 1250 on 02/06/06, 1250 on 02/06/07 and 1250 on 02/06/08. |
(3) | Option Vesting Schedule for Options Granted 02/04/2005: Options exercisable 02/04/2006 - 1250; Options exercisable 02/04/2007 - 1250; Options exercisable 02/04/2008 - 1250; Options exercisable 02/04/2009 - 1250. |
(4) | Options Vesting Schedule for Options Granted 02/03/2006: Options Exerciserable 02/03/2007 - 1281; Options Exerciserable 02/03/2008 - 1281; Options Exerciserable 02/03/2009 - 1281; and Options Exerciserable 02/03/2010 - 1282. |
(5) | Options Vesting Schedule for Options Granted 02/02/2007: Options Exerciserable 02/02/2008- 1281; Options Exerciserable 02/02/2009- 1281; Options Exerciserable 02/02/2010- 1281; and Options Exerciserable 02/02/200- 1282. |
(6) | Granted 02/01/2008 Option Vesting Schedule: Options exercisable 02/01/2009, 8049; Options exercisable 02/01/2010, 8050; Options exercisable 02/01/2011, 8050; Options exercisable 02/01/2012, 8050. |
(7) | Restricted Shares granted on August 9, 2007 that will vest effective February 2, 2010. Restricted Shares will be settled for cash based on the fair market value on the vesting date subject to a 1% ROI performance criteria. |
(8) | Restricted Stock Units granted on February 1, 2008 will vest effective February 1, 2011 if 1% ROI performance criteria is met. Restricted Stock Units will be settled for cash based on the fair market value on the vesting date. |
(9) | Options Vesting Schedule for Options Granted 02/06/2009. Options Exerciserable 02/06/2010 - 9247; Options Exerciserable 02/06/2011 - 9248; Options Exerciserable 02/06/2012 - 9247; and Options Exerciserable 02/06/2013 - 9248. |
(10) | Performance Stock Units granted on February 6, 2009 will vest effective February 6, 2012 if 1% ROI performance criteria is met, or Company is above the 4th Quartile ROI ranking compared to its peer group. Performance Stock Units will be settled for cash based on the fair market value on the vesting date. |