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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 | ||||||||
Performance Units | (1) | 12/18/2012 | J(2) | 240,529 | (1) | (1) | Registered Shares | (1) | $ 0 | 0 | D | ||||
Performance Units | (3) | 12/18/2012 | J(2) | 240,529 | (3) | (3) | Registered Shares | (3) | $ 0 | 0 | D | ||||
Performance Units | (4) | (4) | (4) | Registered Shares | (4) | 310,427 | D | ||||||||
Performance Units | (5) | (5) | (5) | Registered Shares | (5) | 176,678 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DUROC-DANNER BERNARD J 4-6 RUE JEAN-FRANCOIS BARTHOLONI GENEVA, V8 1204 |
X | Chairman, Pres and CEO |
Joseph C. Henry, by Power of Attorney | 12/19/2012 | |
**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) | Each performance unit represented a contingent right to receive 0 to 2.25 shares. The units were scheduled to vest on January 1, 2015 but were voluntarily forfeited for no value on December 18, 2012. |
(2) | Transaction was a voluntary forfeiture for no value of performance units granted to the Reporting Person on March 23, 2012. |
(3) | Each performance unit represented a contingent right to receive 0 to 2 shares. The units were scheduled to vest on January 1, 2015 but were voluntarily forfeited for no value on December 18, 2012. |
(4) | Each performance unit represents a contingent right to receive 0 to 2.25 registered shares, depending on relative shareholder return over the relevant performance period. Units are scheduled to vest on January 1, 2014. |
(5) | Each performance unit represents a contingent right to receive 0 to 2 registered shares, depending on total shareholder return over the relevant performance period. Units are scheduled to vest on January 2, 2013. |