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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 | ||||||||
Employee Stock Option (Right to Buy) | $ 146.93 | 03/02/2015 | A | 5,775 | (8) | 03/02/2025 | Common Stock | 5,775 | $ 0 | 5,775 | D | ||||
Employee Stock Option (Right to Buy) | $ 80.81 | 03/03/2015 | M | 13,333 | (9) | 03/01/2017 | Common Stock | 13,333 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 65.98 | 03/03/2015 | M | 2,720 | (10) | 03/01/2018 | Common Stock | 2,720 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 66.23 | 03/03/2015 | M | 6,374 | (11) | 03/01/2019 | Common Stock | 6,374 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 61.88 | 03/03/2015 | M | 7,895 | (12) | 03/01/2020 | Common Stock | 7,895 | $ 0 | 3,948 | D | ||||
Employee Stock Option (Right to Buy) | $ 89.44 | 03/03/2015 | M | 3,232 | (13) | 03/03/2021 | Common Stock | 3,232 | $ 0 | 6,466 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gallina John E 120 MONUMENT CIRCLE INDIANAPOLIS, IN 46204 |
SVP & Chief Accounting Officer |
/s/ Kathleen S. Kiefer, Attorney in fact | 03/04/2015 | |
**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) | PAYMENT OF TAX LIABILITY BY WITHHOLDING STOCK INCIDENT TO THE VESTING OF PREVIOUSLY GRANTED RESTRICTED STOCK. |
(2) | Represents restricted stock units. Restrictions lapse as follows: 439 on 3/2/16; and 440 each on 3/2/17 and 3/2/18. |
(3) | Represents performance based restricted stock units. Restrictions lapse as follows: 2,328 each on 3/3/15 and 3/3/16; and 2,329 on 3/3/17. |
(4) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 14, 2014. |
(5) | This transaction was executed in multiple trades at prices ranging from $144.65 to $145.64. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(6) | This transaction was executed in multiple trades at prices ranging from $145.65 to $146.62. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(7) | This transaction was executed in multiple trades at prices ranging from $146.78 to $146.85. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(8) | The option, representing a right to purchase a total of 5,775 shares, is exercisable in three equal semi-annual installments of 962 shares each and three equal semi-annual installments of 963 shares each beginning on September 2, 2015, which is the six-month anniversary of the date on which the option was granted. |
(9) | The option, representing a right to purchase a total of 13,333 shares, became exercisable in five equal semi-annual installments of 2,222 shares each and one equal semi-annual installment of 2,223 shares beginning on September 1, 2007, which was the six-month anniversary of the date on which the option was granted |
(10) | The option, representing a right to purchase a total of 8,158 shares, became exercisable in two equal semi-annual installments of 1,359 shares each and four equal semi-annual installments of 1,360 shares each beginning on September 1, 2011, which is the six-month anniversary of the date on which the option was granted. |
(11) | )The option, representing a right to purchase a total of 9,560 shares, became exercisable in four equal semi-annual installments of 1,593 shares each and two equal semi-annual installments of 1,594 shares each beginning on September 1, 2012, which was the six-month anniversary of the date on which the option was granted. |
(12) | The option, representing a right to purchase a total of 11,843 shares, became exercisable in one installment of 1,973 shares and five equal semi-annual installments of 1,974 shares each beginning on September 1, 2013, which was the six-month anniversary of the date on which the option was granted. |
(13) | The option, representing a right to purchase a total of 9,698 shares, became exercisable in four equal semi-annual installments of 1,616 shares each and two equal semi-annual installments of 1,617 shares each beginning on September 3, 2014, which was the six-month anniversary of the date on which the option was granted. |