UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy) | 02/28/2014(1) | 02/27/2023 | Common Stock | 5,042 | $ 69.73 | D | Â |
Employee Stock Option (right to buy) | 11/01/2013(2) | 10/31/2021 | Common Stock | 5,134 | $ 38.3 | D | Â |
Employee Stock Option (right to buy) | 11/02/2013 | 11/01/2020 | Common Stock | 3,068 | $ 39.84 | D | Â |
Employee Stock Option (right to buy) | 07/31/2013 | 07/30/2020 | Common Stock | 15,000 | $ 31.32 | D | Â |
Phantom Stock Units | Â (3) | Â (3) | Common Stock | 2,006 | $ (3) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LICH BRAD A 200 S. WILCOX DRIVE KINGSPORT, TN 37660 |
 |  |  Executive Vice President |  |
Brian L. Henry by Power of Attorney | 01/13/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | One third of option becomes exercisable on each of February 28, 2014, February 28, 2015, and February 28, 2016. |
(2) | One half of option became exercisable on November 1, 2013 and one half of option becomes exercisable on November 1, 2014. |
(3) | Phantom Stock Units credited under the Executive Deferred Compensation Plan, each having a value equal to one share of issuer common stock and payable only in cash and, subject to certain acceleration and early withdrawal provisions, after termination of employment. |
 Remarks: Exhibit 24 - Power of Attorney |