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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCHAEFFER LEONARD D 2525 DUPONT DRIVE IRVINE, CA 92612 |
Former Director/retired 5/3/11 |
/s/ Matthew J. Maletta, Attorney-in-Fact for Leonard D. Schaeffer | 03/23/2012 | |
**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) | The transaction date reported herein correlates to and corrects the transaction date of the March 14, 2011 purchase transaction reported on the Form 4 filed on March 13, 2012. |
(2) | Purchase of stock in the open market. The transaction was conducted in a discretionary brokerage account without the reporting person's prior knowledge or approval. The reporting person has paid to the issuer all short swing profits under Section 16(b) of the Securities Exchange Act of 1934, as amended, realized in the applicable matching sales transactions reported herein. |
(3) | Shares held by Schaeffer Revocable Family Trust dated 10/02/97 established by reporting person as co-settler for the benefit of self and others (the "Family Trust"). |
(4) | The price reported in column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $80.79 to $81.28. |
(5) | The holdings also reflect the effect of other post retirement transactions that are not reportable. |
(6) | The price reported in column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $81.06 to $81.21. |
(7) | The price reported in column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $81.50 to $81.6550. |
(8) | The price reported in column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $82.50 to $82.5166. |
Remarks: The Form 4 filed on March 13, 2012 is being amended to report previously unreported sales transactions and to correct the form of ownership and transaction dates for certain previously reported purchase and sale transactions. Each sale transaction reported herein was conducted subsequent to the reporting person's retirement as a director of the issuer on May 3, 2011. |