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 | ||||
Option (right to buy) | Â (3) | 09/12/2012 | Common Stock | 15,000 | $ 20.55 | D | Â |
Option (right to buy) | Â (4) | 09/12/2013 | Common Stock | 20,000 | $ 17.89 | D | Â |
Option (right to buy) | Â (5) | 06/08/2015 | Common Stock | 16,000 | $ 4.9 | D | Â |
Option (right to buy) | Â (6) | 07/01/2015 | Common Stock | 30,000 | $ 4.22 | D | Â |
Option (right to buy) | Â (7) | 05/21/2016 | Common Stock | 20,000 | $ 7.02 | D | Â |
Option (right to buy) | Â (8) | 01/12/2017 | Common Stock | 20,000 | $ 5.62 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Goodwin Scott J C/O CENVEO, INC. 201 BROAD STREET STAMFORD, CT 06901 |
 |  |  Chief Financial Officer |  |
/s/ Scott J. Goodwin | 08/20/2012 | |
**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) | Includes 46,250 unvested shares under 4 separate Restricted Share Unit awards issued on 9/12/2008, 7/1/2009, 5/21/2010, and 1/12/2011. |
(2) | Includes 11,703 shares purchased under Issuer's Employee Stock Purchase Plan, and 10,878 shares purchased under Issuer's 401(k) Plan. |
(3) | The option was exercisable in 4 equal annual installments beginning 9/12/2007. This option is 100% exercisable. |
(4) | The option was exercisable in 4 equal annual installments beginning 9/12/2008. This option is 100% exercisable. |
(5) | The option is exercisable in 4 equal annual installments. The first 3 installments became exercisable on 6/8/2010, 6/8/2011 and 6/8/2012. The last installment becomes exercisable on 6/8/2013. |
(6) | The option is exercisable in 4 equal annual installments. The first 3 installments became exercisable on 7/1/2010, 7/1/2011 and 7/1/2012. The last installment becomes exercisable on 7/1/2013. |
(7) | The option is exercisable in 4 equal annual installments. The first 2 installments became exercisable on 5/21/2011 and 5/21/2012. The last 2 installments become exercisable on 5/21/2013 and 5/21/2014. |
(8) | The option is exercisable in 4 equal annual installments. The first installment became exercisable on 1/12/2012. The last 3 installments become exercisable on 1/12/2013, 1/12/2014 and 1/12/2015. |