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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 | $ 10.44 | 04/08/2013 | M | 13,300 (1) | 02/22/2007 | 02/21/2014 | Class A Common | 6,500 | $ 10.44 | 0 | D | ||||
Option | $ 10.35 | 10/06/2007 | 10/05/2014 | Class A Common | 17,212 | 17,212 | D | ||||||||
Option | $ 10.41 | 02/22/2008 | 02/21/2015 | Class A Common | 34,425 | 34,425 | D | ||||||||
Option | $ 9.09 | 02/21/2009 | 02/20/2016 | Class A Common | 46,948 | 46,948 | D | ||||||||
Restricted Stock Units | (2) | 03/11/2012 | 03/11/2014 | Restricted Stock Units | 3,964 | 3,964 (2) | D | ||||||||
Restricted Stock Units | (3) | 03/15/2013 | 03/15/2015 | Restricted Stock Units | 8,142 | 8,142 (3) | D | ||||||||
Restricted Stock Units | (4) | 03/09/2014 | 03/09/2016 | Restricted Stock Units | 9,991 | 9,991 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lyons Douglas F 312 WALNUT STREET CINCINNATI, OH 45202 |
Vice President and Controller |
/s/ William Appleton, Attorney-in-fact for Douglas F. Lyons | 04/09/2013 | |
**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) | This option exercise and sale of shares were in accordance with a stock trading plan adopted on December 7, 2012, in accordance with the guidelines specified by Rule 10b5-1. |
(2) | This restricted stock unit award will vest in 2014. Upon vesting, each restricted stock unit will convert into one Class A Common Share of the Company. |
(3) | This restricted stock unit award will vest in equal parts in 2014 and 2015. Upon vesting, each restricted stock unit will convert into one Class A Common Share of the Company. |
(4) | This restricted stock unit award will vest in equal parts in 2014, 2015 and 2016. Upon vesting, each restricted stock unit will convert into one Class A Common Share of the Company. |