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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) | $ 7.95 | 07/28/2003 | 01/23/2012 | Common | 25,000 | 25,000 | D | ||||||||
Stock Options (right to buy) | $ 9.41 | 12/10/2003 | 01/22/2013 | Common | 50,000 | 50,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BESSANT THOMAS A JR 1600 W. 7TH STREET FORT WORTH, TX 76102 |
Exec. VP - CFO |
/s/ Thomas A. Bessant, Jr. | 01/27/2011 | |
**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) | Reflects the vesting of 2,943 of the 3,130 performance-based restricted stock units (the "Performance-Based RSUs") that were originally reported on a Form 4 filed on January 25, 2008. |
(2) | These restricted stock units will vest in 25% increments on February 25, 2012 and on January 31, 2013, 2014 and 2015. |
(3) | Not included in this amount are 5,668 and 6,519 Performance-Based RSUs, of which from 0% to 100% are eligible to vest on January 1, 2013 and January 1, 2014, respectively, subject to the Issuer's achievement of certain financial goals over a three-year period and certification by the Management Development and Compensation Committee. |
(4) | Reflects an adjustment for dividends paid to the Reporting Person pursuant to the dividend reinvestment provisions of the Company's Benefit Plans where the shares are held. |
(5) | The reporting person acquired beneficial ownership of these shares upon his marriage to the owner of the shares on February 22, 1998. |