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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 | ||||||||
Option (right to buy) (3) | $ 33.209 | 12/01/1999 | 12/01/2009 | Common Shares | 4,517 | 1 | D | ||||||||
Option (right to buy) (4) | $ 62.5 | 11/01/2000 | 11/01/2010 | Common Shares | 3,200 | 1 | D | ||||||||
Option (right to buy) (4) | $ 63.9 | 11/07/2001 | 11/07/2011 | Common Shares | 3,912 | 1 | D | ||||||||
Option (right to buy) (3) | $ 70.01 | 11/06/2002 | 11/06/2012 | Common Shares | 1,843 | 1 | D | ||||||||
Option (right to buy) (4) | $ 70.01 | 11/06/2002 | 11/06/2012 | Common Shares | 1,728 | 1 | D | ||||||||
Option (right to buy) (3) | $ 59 | 11/05/2003 | 11/05/2013 | Common Shares | 2,842 | 1 | D | ||||||||
Option (right to buy) (4) | $ 59 | 11/05/2003 | 11/05/2013 | Common Shares | 2,242 | 1 | D | ||||||||
Option (right to buy) (3) | $ 54.2 | 12/08/2004 | 12/08/2014 | Common Shares | 3,094 | 1 | D | ||||||||
Option (right to buy) (4) | $ 54.2 | 12/08/2004 | 12/08/2014 | Common Shares | 2,441 | 1 | D | ||||||||
Option (right to buy) (3) | $ 61.79 | 11/02/2006 | 11/02/2012 | Common Shares | 2,714 | 1 | D | ||||||||
Option (right to buy) (4) | $ 61.79 | 11/02/2006 | 11/02/2012 | Common Shares | 684 | 1 | D | ||||||||
Option (right to buy) (4) | $ 63.48 | 11/08/2007 | 11/08/2013 | Common Shares | 3,308 | 1 | D | ||||||||
Option (right to buy) (4) | $ 60.45 | 11/07/2007 | A | 1 | (5) | 11/07/2014 | Common Shares | 3,868 | (6) | 1 | D | ||||
Phantom Stock (7) | (8) | 11/07/2007 | A | 487 | (8) | (8) | Common Shares | 487 | $ 62.05 (9) | 6,548 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NOTEBAERT RICHARD C 1801 CALIFORNIA STREET SUITE 5200 DENVER, CO 80202 |
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Aneezal H. Mohamed, Attorney-in-fact | 11/08/2007 | |
**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) | Restricted share unit award vests on November 7, 2008 except that if the Company's 2008 Annual Meeting of Shareholders (the ?2008 Annual Meeting?) is prior to November 7, 2008, then the restricted share unit award will vest on the date of the 2008 Annual Meeting. |
(2) | Restricted share unit award granted under the Cardinal Health, Inc. Amended and Restated Outside Directors Equity Incentive Plan, as amended. Award granted without payment by grantee. |
(3) | Stock option granted pursuant to the Cardinal Health, Inc. Amended and Restated Equity Incentive Plan, as amended. |
(4) | Stock option granted pursuant to the Cardinal Health, Inc. Amended and Restated Outside Directors Equity Incentive Plan, as amended. |
(5) | Stock option will become exercisable on November 7, 2008 except that if the Company's 2008 Annual Meeting is prior to November 7, 2008, then the stock option will vest on the date of the 2008 Annual Meeting. |
(6) | Stock option granted without payment by grantee. |
(7) | Phantom stock held under the Company's Deferred Compensation Plan. |
(8) | Each share of phantom stock is the economic equivalent of one common share. The shares of phantom stock become payable, in cash or common shares, at the election of the reporting person, at least six months after termination from board service. |
(9) | Price is the closing price on 11/06/2007. |