UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Class B Common Stock | Â (1) | Â (1) | Class A Common Stock | 12,500,000 | $ (1) | D (2) (3) | Â |
Class B Common Stock | Â (1) | Â (1) | Class A Common Stock | 12,500,000 | $ (1) | D (2) (3) | Â |
Class B Common Stock | Â (1) | Â (1) | Class A Common Stock | 12,500,000 | $ (1) | D (2) (3) | Â |
Class B Common Stock | Â (1) | Â (1) | Class A Common Stock | 12,500,000 | $ (1) | D (2) (3) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ergen Five-Year 2010 DISH GRAT 9601 S. MERIDIAN BLVD. ENGLEWOOD, CO 80112 |
 |  X |  | Joint Filing Group |
Ergen Four-Year 2010 DISH GRAT 9601 S. MERIDIAN BLVD. ENGLEWOOD, CO 80112 |
 |  X |  | Joint Filing Group |
Ergen Three-Year 2010 DISH GRAT 9601 S. MERIDIAN BLVD. ENGLEWOOD, CO 80112 |
 |  X |  | Joint Filing Group |
Ergen Two-Year 2010 DISH GRAT 9601 S. MERIDIAN BLVD. ENGLEWOOD, CO 80112 |
 |  X |  | Joint Filing Group |
/s/ Mrs. Cantey M. Ergen, Trustee of the Ergen Five-Year 2010 DISH GRAT, by Brandon E. Ehrhart her Attorney in Fact | 12/10/2010 | |
**Signature of Reporting Person | Date | |
/s/ Mrs. Cantey M. Ergen, Trustee of the Ergen Four-Year 2010 DISH GRAT, by Brandon E. Ehrhart her Attorney in Fact | 12/10/2010 | |
**Signature of Reporting Person | Date | |
/s/ Mrs. Cantey M. Ergen, Trustee of the Ergen Three-Year 2010 DISH GRAT, by Brandon E. Ehrhart her Attorney in Fact | 12/10/2010 | |
**Signature of Reporting Person | Date | |
/s/ Mrs. Cantey M. Ergen, Trustee of the Ergen Two-Year 2010 DISH GRAT, by Brandon E. Ehrhart her Attorney in Fact | 12/10/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Each Grantor Retained Annunity Trust ("GRAT") may elect into convert any or all of its Class B shares to an equal number of Class A shares at any time for no additional consideration. |
(2) | There is no formal agreement to vote or dispose of the shares owned by each GRAT in a particular manner. The dispositive and voting power of the shares held by each of the GRATs is made independent of each other, except to the extent that Mrs. Cantey M. Ergen is the trustee of each of the GRATs and in that respect is able to control the disposition and voting of the shares of Class B Common Stock owned by each such GRAT. |
(3) | On November 30, 2010, Charles W. Ergen established four GRATs, contributing 12,500,000 Class B shares to each, resulting in the transfer of a total of 50,000,000 Class B shares. |