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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Phantom Stock | Â | Â | Â | Â | Â | Â | Â (11) | Â (11) | Common | Â | 12,609.19 (4) (11) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LINDNER S CRAIG 301 EAST FOURTH STREET CINCINNATI, OH 45202 |
 X |  |  Co-CEO & Co-President |  |
S. Craig Lindner By: Karl J. Grafe | 02/14/2012 | |
**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) | Indirect #1: SCL TTEE of the SCL Living Trust DTD 03/30/83. |
(2) | indirect #3: By Franes R. Lindner, Trustee for the Frances R. Lindner Living Trust dated 9/13/93. |
(3) | Indirect #6: FRL, Cust. CFL Under OH Tsfr to Min Act. |
(4) | This number was incorrectly stated in the Reporting Person's Voluntary Form 4 filed on January 11, 2012. |
(5) | Indirect #12: Held in the Company's Retirement and Savings Plan. The number of shares of Common Stock is based on a statement dated as of 12/31/011. |
(6) | Indirect #23: CFL TR U/A DTD 4/12/05 FRL TTEE |
(7) | Indirect #24: My Nyhart TTEE Christine CU Trust Agreement dtd 12/14/00. |
(8) | Indirect #25: M. Nyhart TTEE CFL 2010 Consolidation Trust DTD 12/17/2010. |
(9) | Indirect #26: M. Nyhart TTEE CFL 2010 Special Trust DTD 12/17/10. |
(10) | indirect #27: Shares voting and dispositive power and holds a remainder interest in shares held by a charitable lead annuity trust. The reporting person disclaims beneficial interest of the shares held by the trust except to the extent of his pecuniry interest in such shares. |
(11) | Represents amounts held by the Reporting Person in a retirement plan of the Issuer based on a statement dated 12/31/2011. Each share is the economic equivalent of one share of common stock. The Reporting Person's account balance is distributed in cash following termination of employment. |