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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 | |
ROBERTS EDWARD B 300 BOYLSTON STREET BOSTON, MA 02116 |
X |
/s/ Edward B. Roberts | 03/10/2014 | |
**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) | Shares sold by the Edward B. Roberts Trust - 2003 (the "EBR 2003 Trust"). |
(2) | Balance in column 5 includes 98,709 shares held by the EBR 2003 Trust, 125,420 shares held by the Nancy H. Roberts Trust (the "NHR Trust"), and 145,978 shares held by the Edward B. Roberts 2012 Qualified Annuity Trust #2 (the "EBR 2012 QAIT#2"). The Reporting Person is a trustee of each of these trusts. |
(3) | Gifts by the EBR 2012 QAIT#2, including 50,500 shares transferred without consideration by the EBR 2012 QAIT#2 to the EBR 2003 Trust. |
(4) | Balance in column 5 includes 149,209 shares held by the EBR 2003 Trust and 125,420 shares held by the NHR Trust. |
(5) | Gifts by the EBR 2003 Trust. |
(6) | Balance in column 5 includes 140,739 shares held by the EBR 2003 Trust and 125,420 shares held by NHR Trust. |
(7) | Balance in column 5 includes 1,812 restricted stock units granted on January 3, 2014 that are not vested as of the date of this report on Form 4. |