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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 | |
CARR ROBERT O C/O HEARTLAND PAYMENT SYSTEMS, INC. 90 NASSAU STREET PRINCETON, NJ 08542 |
X | X | Chairman of the Board and CEO | |
CARR JILL C/O HEARTLAND PAYMENT SYSTEMS, INC. 90 NASSAU STREET PRINCETON, NJ 08542 |
X |
/s/ Charles H.N. Kallenbach As Attorney in Fact | 08/18/2008 | |
**Signature of Reporting Person | Date | |
/s/ Charles H.N. Kallenbach As Attorney in Fact | 08/18/2008 | |
**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) | On August 14, 2008, each of The Robert O. Carr Irrevocable Trust for Kelly Carr and The Robert O. Carr Irrevocable Trust for Ryan Carr sold 3,465 shares, respectively, and The Robert O. Carr Irrevocable Trust for Emily Carr sold 3,466 shares of Common Stock of the Company through Morgan Stanley & Co., Incorporated, a registered broker-dealer. These sales were made pursuant to agreements executed on August 8, 2008 between Marc Ostro, as trustee and Morgan Stanley & Co., Incorporated for the sale of 20,000 shares of the Company's Common Stock pursuant to Rule 144 from each of the above mentioned trusts. The reporting persons disclaim beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting persons are the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
(2) | This Form 4 is filed in connection with a joint/group filing consisting of Mr. Carr and Jill Carr, Mr. Carr's wife. Mrs. Carr's address is c/o Heartland Payment Systems, Inc., 90 Nassau Street, Princeton, NJ 08542. |
(3) | 33 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Kelly Carr and 33 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Emily Carr. 34 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Ryan Carr. |
(4) | 267 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Kelly Carr and 267 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Emily Carr. 266 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Ryan Carr. |
(5) | 200 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Kelly Carr and 200 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Emily Carr. 200 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Ryan Carr. |
(6) | 100 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Kelly Carr and 100 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Emily Carr. 100 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Ryan Carr. |
(7) | 67 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Kelly Carr and 67 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Emily Carr. 66 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Ryan Carr. |
(8) | 33 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Kelly Carr and 34 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Emily Carr. 33 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Ryan Carr. |
(9) | 100 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Kelly Carr and 100 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Emily Carr. 100 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Ryan Carr. |
(10) | 34 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Kelly Carr and 33 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Emily Carr. 33 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Ryan Carr. |
(11) | 67 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Kelly Carr and 67 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Emily Carr. 66 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Ryan Carr. |
(12) | 67 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Kelly Carr and 67 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Emily Carr. 66 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Ryan Carr. |
(13) | 33 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Kelly Carr and 33 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Emily Carr. 34 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Ryan Carr. |
(14) | 33 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Kelly Carr and 33 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Emily Carr. 34 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Ryan Carr. |
(15) | 200 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Kelly Carr and 201 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Emily Carr. 199 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Ryan Carr. |
(16) | 698 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Kelly Carr and 698 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Emily Carr. 700 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Ryan Carr. |
(17) | 67 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Kelly Carr and 67 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Emily Carr. 66 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Ryan Carr. |
(18) | 133 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Kelly Carr and 133 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Emily Carr. 134 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Ryan Carr. |
(19) | 33 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Kelly Carr and 33 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Emily Carr. 34 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Ryan Carr. |
(20) | 300 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Kelly Carr and 300 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Emily Carr. 300 shares of the Company's Common Stock were sold by The Robert O. Carr Irrevocable Trust for Ryan Carr. |
(21) | After the sales, Mr. and Mrs. Carr's indirect beneficial ownership consists of 400,000 shares of Common Stock of the Company held by The Robert O. Carr 2001 Charitable Remainder Unitrust; 446,235 shares held by The Robert O. Carr 2000 Irrevocable Trust for Emily Carr; 250,238 shares held by The Robert O. Carr 2000 Irrevocable Trust for Ryan Carr; 403,724 shares held by The Robert O. Carr 2000 Irrevocable Trust for Kelly Carr; 144,074 shares held by The Jill A. Carr 2000 Irrevocable Trust for Corrissa Nichols; 144,994 shares held by The Jill A. Carr 2000 Irrevocable Trust for Robert Carr, Jr.; and 247,755 shares held by The Jill A. Carr Irrevocable Trust for Hilary Holland Carr. The reporting persons disclaim beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting persons are the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
(22) | Mr. Carr and Mrs. Carr directly own 5,835,399 shares of Common Stock of the Company and have a fully vested option to purchase an additional 125,000 shares of Common Stock of the Company. |