|
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 |
|
| ||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Convertible Preferred Stock | (4) | 05/04/2009 | J(1) | 153,554.66 | (4) | (4) | Common Stock | 0 | (1) | 15,357,138 | D (2) | ||||
Stock Options | $ 7.03 | 05/04/2009 | J(1) | 1,500 | (5) | (5) | Common Stock | 0 | (1) | 1,500 | I | See Footnote (5) | |||
Stock Options | $ 11.59 | 05/04/2009 | J(1) | 2,000 | (6) | (6) | Common Stock | 0 | (1) | 2,000 | I | See Footnote (6) | |||
Stock Options | $ 15.87 | 05/04/2009 | J(1) | 2,000 | (7) | (7) | Common Stock | 0 | (1) | 2,000 | I | See Footnote (7) | |||
Stock Options | $ 15.17 | 05/04/2009 | J(1) | 2,000 | (8) | (8) | Common Stock | 0 | (1) | 2,000 | I | See Footnote (8) | |||
Stock Options | $ 7.34 | 05/04/2009 | J(1) | 3,000 | (9) | (9) | Common Stock | 0 | (1) | 3,000 | I | See Footnote (9) | |||
Stock Options | $ 24.1 | 05/04/2009 | J(1) | 3,000 | (10) | (10) | Common Stock | 0 | (1) | 3,000 | I | See Footnote (10) | |||
Stock Options | $ 26.7 | 05/04/2009 | J(1) | 3,000 | (11) | (11) | Common Stock | 0 | (1) | 3,000 | I | See Footnote (11) | |||
Stock Options | $ 35.9 | 05/04/2009 | J(1) | 3,000 | (12) | (12) | Common Stock | 0 | (1) | 3,000 | I | See Footnote (12) | |||
Stock Options | $ 55.06 | 05/04/2009 | J(1) | 3,000 | (13) | (13) | Common Stock | 3,000 | (1) | 3,000 | I | See Footnote (13) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GLENCORE INVESTMENT PTY LTD. LEVEL 4, 30 THE ESPLANADE PERTH, C3 6000 |
X |
/s/ Richard James Marshall, Director /s/ Marc Ocskay, Director | 05/04/2009 | |
**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) | The reporting person no longer has reportable beneficial interest in these securities, which were transferred to another wholly-owned subsidiary of Glencore International AG, the reporting persons indirect sole shareholder. |
(2) | The shares of common stock reported in Table I and Series A Convertible Preferred Stock reported in Table II are held directly by Glencore Investment Pty Ltd., a wholly-owned subsidiary of Glencore Investment AG, and indirectly by (i) Glencore International AG, the controlling shareholder of Glencore Investment AG, and (ii) Glencore Holding AG, the controlling shareholder of Glencore International AG. |
(3) | Represents 1,047 shares of restricted common stock issued on June 25, 2008 to Mr. Willy R. Strothotte, a director of the Issuer, who holds such shares as nominee for the Reporting Person. Shares vest in full on the one year anniversary of the grant date, or if earlier, upon Mr. Strothotte's termination of service as a member of the issuer's board of directors due to death or disability. |
(4) | Each share of Series A Convertible Preferred Stock is convertible into 100 shares of the Issuer's common stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date. |
(5) | June 9, 1999 grant of stock options to Mr. Willy R. Strothotte, a director of the issuer, who holds such options as nominee for the Reporting Person. Options vested and became exercisable in four equal installments ending on the first anniversary of the date of grant. The options will expire and cease to be exercisable on the tenth anniversary of the date of grant. |
(6) | June 5, 2000 grant of stock options to Mr. Willy R. Strothotte, a director of the issuer, who holds such options as nominee for the Reporting Person. Options vested and became exercisable in four equal installments ending on the first anniversary of the date of grant. The options will expire and cease to be exercisable on the tenth anniversary of the date of grant. |
(7) | June 28, 2001 grant of stock options to Mr. Willy R. Strothotte, a director of the issuer, who holds such options as nominee for the Reporting Person. Options vested and became exercisable in four equal installments ending on the first anniversary of the date of grant. The options will expire and cease to be exercisable on the tenth anniversary of the date of grant |
(8) | June 25, 2002 grant of stock options to Mr. Willy R. Strothotte, a director of the issuer, who holds such options as nominee for the Reporting Person. Options vested and became exercisable in four equal installments ending on the first anniversary of the date of grant. The options will expire and cease to be exercisable on the tenth anniversary of the date of grant. |
(9) | June 25, 2003 grant of stock options to Mr. Willy R. Strothotte, a director of the issuer, who holds such options as nominee for the Reporting Person. Options vested and became exercisable in four equal installments ending on the first anniversary of the date of grant. The options will expire and cease to be exercisable on the tenth anniversary of the date of grant. |
(10) | July 19, 2004 grant of stock options to Mr. Willy R. Strothotte, a director of the issuer, who holds such options as nominee for the Reporting Person. Options vested and became exercisable in four equal installments ending on the first anniversary of the date of grant. The options will expire and cease to be exercisable on the tenth anniversary of the date of grant. |
(11) | August 11, 2005 grant of stock options to Mr. Willy R. Strothotte, a director of the issuer, who holds such options as nominee for the Reporting Person. Options vested and became exercisable in four equal installments ending on the first anniversary of the date of grant. The options will expire and cease to be exercisable on the tenth anniversary of the date of grant. |
(12) | June 12, 2006 grant of stock options to Mr. Willy R. Strothotte, a director of the issuer, who holds such options as nominee for the Reporting Person. Options vested and became exercisable in four equal installments ending on the first anniversary of the date of grant. The options will expire and cease to be exercisable on the tenth anniversary of the date of grant. |
(13) | May 24, 2007 grant of stock options to Mr. Willy R. Strothotte, a director of the issuer, who holds such options as nominee for the Reporting Person. Options vested and became exercisable in four equal installments ending on the first anniversary of the date of grant. The options will expire and cease to be exercisable on the tenth anniversary of the date of grant. |