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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 Option | $ 13.645 | 10/27/2014 | M | 225,000 | 02/14/2009 | 02/14/2015 | Common Stock | 225,000 | $ 13.645 | 0 | D | ||||
Stock Option | $ 13.645 | 10/28/2014 | M | 225,000 | 02/14/2009 | 02/14/2015 | Common Stock | 225,000 | $ 13.645 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROTH MICHAEL ISOR THE INTERPUBLIC GROUP OF COMPANIES, INC. 1114 AVENUE OF THE AMERICAS, 19TH FLOOR NEW YORK, NY 10036 |
Chairman & CEO |
/s/Robert J. Dobson POA for Michael I. Roth | 10/29/2014 | |
**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) | Involves the exercise of 450,000 options which were set to expire on February 14, 2015 and subsequent sale of the underlying shares. The options were exercised in 2 increments consisting of 225,000 on 10/27/2014 and 225,000 on 10/28/2014. The reporting person will use the proceeds of such sale for tax planning purposes. |
(2) | Includes restricted shares which are subject to forfeiture under certiain circumstances. |
(3) | Reflects weighted-average price of multiple sales on October 27, 2014 ranging from $18.615 to $18.78. Mr. Roth undertakes to provide upon request by the Commission staff, the issuer,or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(4) | Reflects weighted-average price of multiple sales on October 28, 2014 ranging from $18.705 to $18.95. Mr. Roth undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |