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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) | $ 1.13 | 03/01/2010 | M | 5,000 (1) | (3) | 02/19/2016 | Common Stock | 5,000 | (4) | 70,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Goodman John B 6686 POINTE LAKE LUCY CHANHASSEN, MN 55317 |
SR V.P. - Tech. & Innovation |
Peter W. Walcott, Attorney-in-Fact for John B. Goodman | 03/12/2010 | |
**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 amendment is to correct the nature of the transaction previously reported from an open market sale to a stock option exercise and sale, which was due to communication errors, by adding a line to both Table I and Table II to show the stock option exercise and to correct Table I, Box 5 of each of the lines previously reported to correct the calculation totals. |
(2) | These shares were sold pursuant to a Rule 10b5-1 Trading Plan established by the Reporting Person on November 16, 2009. |
(3) | This option is exercisable in three equal annual installments. The first installment became exercisable on 2/19/2010, the second installment becomes exercisable on 2/19/2011 and the last installment becomes exercisable on 2/19/2012. |
(4) | These options were awarded pursuant to a stock option plan that provides for the award of options in consideration of services as an employee. |