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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 | ||||||||
Stock Options | $ 3.51 | 02/27/2006 | M(5) | 30,575 | (6) | 10/31/2012 | Common Stock | 30,575 | (8) | 0 | D | ||||
Stock Options | $ 3.99 | 02/27/2006 | M(5) | 162,138 | (6) | 01/22/2013 | Common Stock | 162,138 | (8) | 0 | D | ||||
Stock Options | $ 4.25 | 02/27/2006 | M(5) | 155,478 | (7) | 10/24/2011 | Common Stock | 155,478 | (8) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RICKETTS J PETER 4211 SOUTH 102ND STREET OMAHA, NE 68127 |
X |
/s/ Nancy McCabe as attorney-in-fact for J. Peter Ricketts | 02/28/2006 | |
**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) | Reflects shares received upon exercise of Stock Options granted to Mr. Ricketts pursuant to Rule 16b-3 and subsequent sale of such shares. |
(2) | Shares are held by trusts created for Mr. Ricketts' children. |
(3) | Shares are held by Mr. Ricketts in his capacity as trustee of the Marlene M. Ricketts 1999 Irrevocable Trust f/b/o J. Peter Ricketts of which trust Mr. Ricketts is sole beneficiary. |
(4) | Shares are held by the Marlene M. Ricketts 2003-1 Qualified Annuity Trust, the Marlene M. Ricketts 2004-1 Qualified Annuity Trust and the Marlene M. Ricketts 2004-2 Qualified Annuity Trust, for which Mr. Ricketts is Co-Trustee and his mother is sole beneficiary. |
(5) | Exercise of Stock Options granted to Mr. Ricketts pursuant to Rule 16b-3. |
(6) | 1/3 are exercisable each year over a three-year period beginning on the grant date. |
(7) | 25% are exercisable each year over a four-year period beginning on the grant date. |
(8) | The Stock Options were granted to Mr. Ricketts pursuant to Rule 16b-3. |