|
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 |
|
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Biddle Catherine U 53 ELMWOOD RD SOUTH SALEM, NY 10590 |
X | X |
Catherine U. Biddle by Miyun Sung as Attorney-in-fact | 01/05/2017 | |
**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 January 4, 2017, the Issuer entered into an agreement with Willing L. Biddle, spouse of Catherine U. Biddle (the "Reporting Person"), whereby Mr. Biddle was granted a restricted stock award of 100,000 shares of Common Stock pursuant to the Issuer's Amended and Restated Restricted Stock Award Plan (the "Restricted Stock Award Plan"). |
(2) | Shares held by Willing L. Biddle, spouse of the Reporting Person, of which 990,000 are restricted shares issued to Mr. Biddle pursuant to the Company's Restricted Stock Award Plan. On January 3, 2017, restrictions applicable to a previously reported grant of 60,000 shares of Common Stock lapsed, resulting in Mr. Biddle becoming fully vested in such shares. |
(3) | On January 4, 2017, the Issuer entered into an agreement with the Reporting Person, whereby the Reporting Person was granted a restricted stock award of 1,050 shares of Common Stock pursuant to the Restricted Stock Award Plan. |
(4) | Shares held by the Reporting Person, of which 4,100 are restricted shares issued to the Reporting Person pursuant to the Issuer's Restricted Stock Award Plan. |
(5) | Shares held by Catherine U. Biddle 2012 Dynasty Trust. |
(6) | Shares held by Willing L. Biddle 2012 Dynasty Trust. |
(7) | Shares held by Willing L. Biddle Inherited IRA. |
(8) | Shares held by Charles Biddle Trust. |
(9) | Shares held by Trust UW PTB Art 4.1. |
(10) | Shares held by Excess Benefit and Deferred Compensation Plan of 2005, of which Willing L. Biddle is a participant. |